making decisions on whether to bring disciplinary actions against individuals and firms within the financial industry. These Honors Associates... are tasked with gaining substantive, hands-on legal experience that enhances their lawyering skills in areas such as investigating, litigating, and leg...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and perform ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support a Risk Monitoring Director in identifying existing and emerging risks and interact with internal and...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst is tasked with supporting the External Strategic Engagements leadership team in all aspects of their responsibilities. This includes representing the team when appropriate and leading the development of...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments for FINRA members, under the supervision of a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and in...
Title: Principal Analyst, Risk Monitoring** **Job Responsibilities:** - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and engage in interactions with internal and external parties. - Conduct risk monitoring...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Serve as a senior-level position reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks, and manage interactions with internal and external parties. - Conduct...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the Firm Grouping by setting a multi-year strategic plan and managing priorities to align with the goals and vision of Member Supervision. - Work closely with cross-functional partners...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert-level position within the Strategic Intelligence & Analytics (StratIntel) organization, which is part of the Member Supervision department. This role involves utilizing an expanded skillset and expertise...