Title: Associate, HONORS Program-1 Job Responsibilities: FINRA Enforcement Associates in the Honors Program play a crucial role in the investigations and decisions regarding whether to bring disciplinary actions against individuals and firms in the financial industry. This entry-level position provides substantive hands-on...
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 dealing with complex or elevated risk firms, with guidance and minimal...
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 risks. - Perform risk monitoring activities, including those involving complex or elevated risk firms,...
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 external parties. - Conduct risk monitoring activities for complex or elevated risk...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the Firm Grouping by setting a multi-year strategic plan, managing priorities in alignment with Member Supervision goals, and integrating Examination efforts with Regulatory Operations. - Provide strategic leadership...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead operations and execution for Capital Markets, Fixed Income Specialist, and Compliance teams, comprising over 120 examiners and managers. - Develop and implement a multi-year strategic plan aligned with Member...
Intelligence Specialist Job Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a critical position within the department of StratIntel at the organization, which is committed to delivering proactive intelligence to enhance investor protection and market integrity. The primary responsibilities for this...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst plays a crucial role within the Office of Strategic Engagements (OSE) of the Member Supervision department. The primary responsibilities include: - Supporting the External Strategic Engagements leadership team...
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. - Identify existing and emerging risks and interact with internal and external parties. - Monitor complex...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a key member of the StratIntel team within the Member Supervision department at the organization. This role is critical to the mission of delivering proactive intelligence to enhance investor protection and...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist plays a pivotal role in the **Members Only** program within the organization's Member Supervision department. This position is integral to the Financial Intelligence Fusion Center (FIFC), tasked with aggregating, analyzing, and...