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abides by the requirements of 41 CFR ), ) and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibit discrimination against all individuals based on their race, color,...
Advisor, Member Supervision The candidate will provide critical leadership and strategic support to the Senior Vice President in the performance of a full and diverse range of functions. Enable the SVP to effectively develop and execute on strategy, engage in...
Director, Special Investigations Unit - Any FINRA Location Full Time R-007744 Overview: - Senior leadership position within FINRA’s Special Investigations Unit (SIU) - Oversees anti-money laundering (AML) and anti-fraud investigative functions - Leads specialist AML Investigations...
Principal, MRTS Market Strategy and Research The candidate will provide analysis critical to proactive regulatory risk assessment and the development of regulatory strategy. Effectively develop regulatory strategy informed by market conditions and developments, as well as achieve the goals and...
PCAOB is an Equal Opportunity Employer and is committed to creating a diverse work environment where all employees feel valued and respected. We offer a comprehensive benefits package, including medical, dental, vision, and retirement benefits, as well as work-life balance...
Principal Investigator, Specialist Team, is a full-time position that is responsible for conducting high complexity routine and special investigations of FINRA member firms. This role also involves investigating potentially suspicious activities of persons associated with FINRA member firms and providing...
**MEMBERS ONLY**SIGN UP NOW***. (BPHC) Department Labor and Employment Paralegal - Labor and Employment #2202 Salary Information: - Pay range: $60,000 to $65,000 annually - Full-time position with 35 hours per week - Shift: Monday to Friday, 9 AM to 5 PM Job Title: -...
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...