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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 The Director of Risk Monitoring will oversee the implementation and completion of the Risk Monitoring Program for a specific Firm Grouping or Sub-Grouping. They will actively supervise the activities of...
compliance with applicable rules and regulations, as well as financial crimes. The Director will... manage a team of specialists and develop regulatory programs to ensure member firms are following proper financial practices and offering appropriate... products. This is a seni......
including the Washington Post, Financial Times and InvestmentNews. We... are proud to offer a culture of inclusiveness and collaboration that is both diverse and engaging. This job summary is intended to describe the general nature and level of the...