Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members. - Support a Risk Monitoring Director in identifying existing and emerging risks. - Engage in interactions with internal and external parties. - Conduct risk monitoring activities,...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst within the Office of Strategic Engagements (OSE) at the organization is tasked with supporting the leadership team in all aspects of the group’s responsibilities. This role involves representing...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and interact with internal...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks. - Interact with both internal and external...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and engage with...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a pivotal role within the StratIntel team of the organization’s Member Supervision department. The individual in this position is responsible for leading complex analytical projects aimed at identifying emerging market risks...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the strategic examinations program for the Firm Group, ensuring effectiveness, efficiency, and proper execution. - Develop a multi-year strategic plan aligned with Member Supervision goals and vision. - Collaborate...
Fixed Income Specialist, and Compliance teams, consisting of over 120 examiners and managers. This includes setting a multi-year strategic plan, managing priorities aligned with Member Supervision goals, and integrating Examination efforts with Regulatory Operations. - Engage regularly with Fixed Income Regulation...
organization's Enforcement investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. This entry-level role... allows the Associate to gain hands-on legal experience, enhance lawyering skills, and acquire specialized knowledge about the financial sector. Key responsibilit...