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Senior Director, Cyber-Enabled Fraud and Analytics - Any FINRA Location H2: Job Description and Requirements Organization: FINRA Department: Cyber and Analytics Unit (CAU) Job Type: Full Time Salary Range: $149,600 - $351,200 (varies by location...
President, Risk Monitoring - Trading and Execution Firm Grouping The candidate oversees teams focused on the tailoring of risk monitoring and assessment for firms under their responsibility, as well as the exam plan and scope of exams. Provides strategic leadership...
Director, Retail Risk Monitoring The candidate will be the single point of accountability for the risk assessment, planning and execution of examinations, based on risks identified for a particular Firm Group and/or Subgroup. Provides strategic leadership in a Firm Grouping...
MRTS Regulatory Compliance The candidate will manage key regulatory and compliance functions for Market Regulation and Transparency Services (MRTS). Manage responses to SEC inspections and oversights, manage responses to government access requests, ensure timely completion of audit commitments, and manage...
Director, MAP The candidate reports directly to the Vice President, Membership Application Program & Statutory Disqualification. Senior leaders responsible for the management and assessment of firm group membership applications and materiality consultations. Leads and implements the strategic direction of the...
Member Supervision Operations, Procedures, and Standards The candidate will provide strategic leadership and guidance and establish procedures and standards across the program as well as advise and collaborate with various groups conducting reviews of the program including the SEC, Internal...
Principal Counsel, Enforcement - Join FINRA and Make a Difference in Financial Regulation H2: Overview: - Role: Principal Counsel, Enforcement - Organization: FINRA - Location: Multiple locations (see job posting) - Time type: Full time - Job requisition ID: R-007990 - Education/Experience: Minimum of 7 years relevant...
Director of Risk Monitoring is a senior level position within the Risk Monitoring department at **MEMBERS ONLY**SIGN UP NOW***. This role is responsible for overseeing a team of Risk Monitoring Analysts and ensuring the successful implementation and completion of the Risk Monitoring Program...
Principal Analyst, Risk Monitoring - Any FINRA Location H2: Senior-Level Position with the Opportunity for Advancement Organization: FINRA Job Title: Principal Analyst, Risk Monitoring Job Requisition ID: R-008120 Time Type: Full Time Posted On: Posted Today Summary:...