investigations and decisions regarding disciplinary actions against individuals and organizations within the financial industry. This entry-level position... provides substantive hands-on legal experience and specialized knowledge of the financial sector. Honors Associates operate... under the supervision of senior attorneys, investigators, Directo...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and interacting with internal...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members under the supervision of a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Conduct risk monitoring...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Execute risk monitoring activities for...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagement is tasked with supporting the leadership team in External Strategic Engagements. The role involves developing high-impact publications, speaker preparation materials, and other...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Support the direct manager by identifying existing and emerging risks and facilitating interactions with...
of attorneys and paralegals. Key responsibilities include: - Handling a high volume of calls from tenants regarding the Eviction Diversion and Targeted Financial Assistance Program - Screening... tenants for eligibility and performing intake - Providing information about the Eviction Diversio...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Serve as the strategic examinations leader accountable for the effectiveness, efficiency, and execution of the Examinations Program for the Firm Group and assigned firms. - Set a multi-year strategic...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: The Vice President of Capital Markets, Fixed Income, and Compliance Testing is a strategic leader responsible for overseeing the Capital Markets, Fixed Income Specialist, and Compliance teams within the organization's...