Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a pivotal role within the StratIntel team of the organization's Member Supervision department, aimed at enhancing investor protection and market integrity. The key responsibilities include: - Leading complex analytical projects to identify...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagements (OSE) within the department is charged with supporting the External Strategic Engagements leadership team in fulfilling their responsibilities. This includes representing the...
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 interact with internal and external...
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 interact with internal and external...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting directly to a Risk Monitoring Director. - Serve as a senior-level support to the Risk Monitoring Director in identifying existing...
division of the organization's Member Supervision department. This position is responsible for delivering proactive intelligence to enhance investor protection and market integrity through informed, timely regulatory decisions. The key responsibilities... include: - Leading complex analytical projects to identify emerging market risks...
of the Examinations Program for the Firm Group, ensuring alignment with Member Supervision goals and vision. - Collaborate with cross-functional partners and Regulatory Operations to integrate examination... efforts effectively. - Oversee the Examination Program, ensuring timely and effective examinations tailored to addre...
of transactional real estate health care-related matters, including leases,... licenses, estoppel certificates, SDNAs, easements, and other related documents. - Assesses legal risk impacting business and/or clinical operations and proposes solutions. - Serves as a subject matter expert on real estate matters. - Negotiates...