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A Non-Profit Advocacy Organization is seeking a highly skilled and experienced Director of Litigation to lead their litigation program. This hybrid position offers the opportunity to work both remotely and in their Los Angeles, CA office. The ideal candidate will...
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, 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...
Risk Monitoring - Capital Markets - Any FINRA Location Full Time Job Requisition ID: R-008111 Job Title: Director, Risk Monitoring - Capital Markets Experience: MBA, JD, other graduate degree and/or relevant industry certification(s) preferred. Organization:...
R-008114 The Investigations Director, Specialist Team, manages examinations and investigations of broker-dealers’ compliance with applicable rules and regulations, and financial crimes. The Director develops... and supervises specialists regulatory programs and work products related to the routine... and special examinations/inv...
Principal Analyst, Risk Monitoring will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members. This is a senior-level position reporting to a Risk Monitoring Director and will support both that direct manager in identifying existing...