Income Specialist, and Compliance teams, comprising over 120 examiners and managers. - Develop and implement a multi-year strategic plan aligned with Member Supervision goals and vision. - Collaborate with cross-functional partners and ensure integration of Examination efforts with Regulatory Operations. - Oversee a...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks, and interact with internal and external parties. - Conduct risk monitoring activities, including...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties to address these...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and in interactions with internal and...
strategic plan, managing priorities in alignment with Member Supervision goals, and integrating Examination efforts with Regulatory Operations. - Provide strategic leadership... and oversight to the Examination Program for the Firm Grouping, ensuring timeliness and effectiveness in addressing business activities and ri...