Title: Associate, HONORS Program-1 Job Responsibilities: The Associate in the HONORS Program is tasked with making significant contributions to the organization's Enforcement investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. This entry-level role allows the Associate...
ongoing risk assessments of FINRA members. - Support a Risk... Monitoring Director in identifying existing and emerging risks. - Engage in interactions with internal and external parties. - Conduct risk monitoring activities, including complex or elevated risk firms, with minimal supervision. - Collaborate with...
ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and interact with internal and external parties. - Conduct risk monitoring activities for 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. - Interact with both internal and external parties for risk-related matters. - Conduct risk monitoring activities, which may include...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a pivotal role within the StratIntel mission of the department, primarily tasked with enhancing investor protection and market integrity through informed regulatory decisions. The key responsibilities include: - Leading complex analytical projects...
ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and engage with internal and external parties. - Conduct risk monitoring activities for complex or elevated risk firms...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the strategic examinations program for the Firm Group, ensuring effectiveness, efficiency, and proper execution. - Develop a multi-year strategic plan aligned with Member Supervision goals and vision. - Collaborate...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the operations and execution of the Capital Markets, Fixed Income Specialist, and Compliance teams, consisting of over 120 examiners and managers. This includes setting a multi-year strategic plan,...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist operates within the Strategic Intelligence & Analytics (StratIntel) organization, a part of the Member Supervision department. The role involves providing proactive and strategic intelligence to support investor protection and market...