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registered trademark of the Financial Industry Regulatory Authority, Inc.... Corp Financing & Advertising Regulation - The Sr... Corporate Financing and Advertising Regulation is a key member... strategic direction of the Corporate Financing and Advertising Regulation departments. - Interpretive an......
Title: Principal Analyst, Regulatory Services Management H1 Heading:... Principal Analyst in Regulatory Services Management H2 Heading:... Market Regulation and Transparency Services Bold Headlines: -... professional work in Regulatory Services Management - Perform a... variety of tasks in...
Analyst, Risk Monitoring The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. Conducts...
Analyst, Risk Monitoring The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. Conducts...
FINRA Department: Special Investigations Unit (SIU) Job Type: Full-time Salary: Minimum $149,600 - Maximum $351,200 (depending on location and qualifications) Experience: Significant securities, compliance, or financial regulatory experience Job... Summary: The Senior Director within FINRA’s Special Investigations Unit (SIU)...
regulatory organization for the financial industry. Job Responsibilities:... Conduct risk monitoring activities and ongoing risk assessments for FINRA members, reporting to a Risk Monitoring Director. Collaborate with internal departments to analyze and communicate regulatory intelligence, making...
Risk Monitoring - Capital Markets Full-time position Job Requisition ID: R-008111 Role Overview: The Director of Risk Monitoring is responsible for overseeing the implementation and completion of the Risk Monitoring Program for a specific Firm Grouping...
them in identifying existing and emerging risks. This is a senior-level position that requires a Bachelor's degree in finance, accounting, business or a... related field. A graduate degree and relevant industry certifications are preferred. You will need to have demons...
Friendly Job Title: Assistant General Counsel, Regulatory - Full Time H1: Join FINRA as an Assistant General Counsel in our Regulatory Group! H2: Purposeful Work with FINRA as an Assistant General Counsel, Regulatory Bold Headlines: - Work for a Regulator with a Strong Moral...
of high-quality, customer-focused legal services to assigned Conservancy business... units. Report to the General Counsel. Assist the General Counsel in managing the Global Legal Function, steering the overall enterprise risk of the global organization. Ensure that Legal staff are fully...