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Senior Analyst, Public Offerings The candidate analyzes... complex and high-profile public offering transactions. Reviews and... investigates proposed public offering underwriting arrangements to... ensure compliance with the organization and SEC rules as well as other securities laws. Ensures underwriting compensation is...
FINRA is seeking a Senior Director to lead their Cyber-Enabled Fraud and Analytics team. This senior level position will oversee the planning and execution of cyber-enabled fraud investigations involving member firms, as well as conduct threat identification analysis and...
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...
Friendly Job Title: Senior Director, Special Investigations Unit H1 Heading: Senior Director - Special Investigations Unit H2 Headings: Essential Job Functions, Education/Experience Requirements, Knowledge Requirements, Skills Requirements Senior Director, Special Investigations Unit - Any FINRA Location...
**MEMBERS ONLY**SIGN UP NOW***. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. The Sr Vice President of Corporate Financing and Advertising Regulation is responsible for setting the strategic direction of the organization's corporate financing and...
Principal Investigator, NCP The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal...
PCAOB, a nonprofit organization established by Congress, is seeking a Fall 2024 Legal Intern to join their team and make a difference in global investor protection. This part-time position offers a competitive hourly rate based on education level and qualifications,...
Investigator, FINOP-NCP The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal and...
Director, MAP The candidate reports directly to the Vice President, Membership Application Program & Statutory Disqualification. Senior leaders responsible for the management and assessment of firm group membership applications and materiality consultations. Leads and implements the strategic direction of the...