Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a crucial role within the StratIntel unit of the organization’s Member Supervision department. This role is centered on delivering proactive intelligence to enhance investor protection and market integrity. Key responsibilities include: -...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and perform ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support a Risk Monitoring Director in identifying existing and emerging risks and interact with internal and...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments for FINRA members, under the supervision of a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and in...
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 engage in interactions with internal and external parties. - Conduct risk monitoring...
Title: Associate, HONORS Program Job Responsibilities: FINRA Enforcement Associates in the Honors Program play a crucial role in contributing to Enforcement's investigations and making decisions on whether to bring disciplinary actions against individuals and firms within the financial industry. These...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst is tasked with supporting the External Strategic Engagements leadership team in all aspects of their responsibilities. This includes representing the team when appropriate and leading the development of...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Serve as a senior-level position reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks, and manage interactions with internal and external parties. - Conduct...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a critical role in the StratIntel mission within the organization's Member Supervision department. This role is instrumental in delivering proactive intelligence to enhance investor protection and market integrity. Key responsibilities include: -...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the Firm Grouping by setting a multi-year strategic plan and managing priorities to align with the goals and vision of Member Supervision. - Work closely with cross-functional partners...
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...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert-level position within the Strategic Intelligence & Analytics (StratIntel) organization, which is part of the Member Supervision department. This role involves utilizing an expanded skillset and expertise...
Title: Family Law Senior Attorney [INTERNAL ONLY] Job Responsibilities: The Family Law Senior Attorney at the organization is expected to be an experienced litigator, strategic thinker, and subject matter expert with extensive experience in representing low-income litigants in family law cases. This...
Title: Housing Law Senior Attorney [INTERNAL ONLY] Job Responsibilities: The Housing Law Senior Attorney plays a pivotal role within the organization by offering experienced legal representation and advocacy for low-income litigants in housing law cases. The position requires the attorney to handle...
Title: Employment Attorney Job Responsibilities: - Advise and counsel employers on complex legal issues, addressing potential risks in areas such as performance documentation, discipline, termination, layoffs, employment agreements, and more. - Build and maintain strong relationships with members through regular communication, both virtual...