Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the... Fixed Income Specialist, and Compliance teams, consisting of over... 120 examiners and managers. - Set multi-year strategic plans and manage priorities to align with Member Supervision goals and vision. - Collaborate closely with...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: - Support the External Strategic Engagements leadership team in all aspects of the group’s responsibilities. - Represent the team where appropriate and lead the development of high visibility and high impact publications, speaker...
set a multi-year strategic plan aligning with Member Supervision goals and vision. - Manage priorities, collaborate with cross-functional partners, and integrate examination efforts with Regulatory Operations. - Ensure connectivity and... partnership with Member Supervision’s centralized and support functions and other Member Supervision...
Title: Juvenile Rights Practice Staff Attorney – Entry Level Fall 2026 Job Responsibilities: - Represent clients in Family Court litigation, including fact-finding, dispositional, and post-dispositional hearings. - Conduct direct client representation and handle institutional assignments such as intake and case coverage. - Prepare cases...
Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the... Fixed Income Specialist, and Compliance teams, consisting of over... with Member Supervision goals and vision. - Collaborate with cross-functional partners, integrate Examination efforts with Regulatory Operations, and ensure connectivity... with Member Sup...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks, supporting the direct manager in interactions with internal and external...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, focusing on both existing and emerging risks. - Report to a Risk Monitoring Director, supporting them in identifying risks and interacting with both internal...
Program for the Firm Group, ensuring alignment with organizational goals and regulatory standards. - Develop and implement... a multi-year strategic plan for the Firm Group, managing priorities in line with Member Supervision objectives and collaborating with cross-functional partners. - Oversee the Ex...