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Full Time Salary Range: $149,600 - $351,200 (varies by location and experience) Experience: Significant securities, compliance, or financial regulatory experience required ... Job Requisition ID: R-007655 Date Posted: Posted Yesterday Location: Any FINRA Location #LI-...
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...
Director, Special Investigations Unit - Any FINRA Location Full Time R-007744 Overview: The Senior Director within FINRA’s Special Investigations Unit (SIU) will be responsible for overseeing the anti-money laundering (AML) and anti-fraud investigative functions. This includes...
Make a Difference in Financial Regulation H2: Overview: - Role: Principal... Job requisition ID: R-007990 - Education/Experience: Minimum of 7 years relevant legal experience in financial regulatory space preferred - Work... Conditions: Occasional work outside of business hours and overnight travel may be required...
abides by the requirements of 41 CFR ), ) and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and require affirmative action by covered prime contractors and subcontractors to...
of legal experience Organization: FINRA (Financial Industry Regulatory Authority) Location: Various... locations (CA, Washington DC, CO, HI, New York, NY, WA, MD) Full Time: Yes Job Requisition ID: R-008031 Purpose and Meaning: - Work for a not-for-profit entity that operates under the oversight of the SEC -...
Director of Risk Monitoring is a senior level position within the Risk Monitoring department at **MEMBERS ONLY**SIGN UP NOW***. This role is responsible for overseeing a team of Risk Monitoring Analysts and ensuring the successful implementation and completion of the Risk Monitoring Program...
Principal Analyst, Risk Monitoring - Any FINRA Location H2: Senior-Level Position with the Opportunity for Advancement Organization: FINRA Job Title: Principal Analyst, Risk Monitoring Job Requisition ID: R-008120 Time Type: Full Time Posted On: Posted Today Summary:...
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......