of the department, primarily tasked with enhancing investor protection and market integrity through informed regulatory decisions. The key responsibilities... include: - Leading complex analytical projects to identify and address emerging market risks with minimal supervision. - Developing sophisticated frameworks for the eval...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members. - Support a Risk Monitoring Director in identifying existing and emerging risks. - Engage in interactions with internal and external parties. - Conduct risk monitoring activities,...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst within the Office of Strategic Engagements (OSE) at the organization is tasked with supporting the leadership team in all aspects of the group’s responsibilities. This role involves representing...
Title: Principal Analyst, Risk Monitoring - Capital Markets 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 engage with...
for the Firm Group, ensuring effectiveness, efficiency, and proper execution. - Develop a multi-year strategic plan aligned with Member Supervision goals and vision. - Collaborate with cross-functional partners and integrate examination efforts with Regulatory Operations. - Provide strategic leadership... and oversight to th...
Title: Assistant General Counsel Job Responsibilities: The Assistant General Counsel (AGC) will be a vital contributor to a small in-house legal team, dealing with a complex array of commercial matters and government contracting regulations. The AGC will tackle both large and small...
Title Assistant General Counsel Job Responsibilities The Assistant General Counsel (AGC) at a reputed firm will play a critical role as part of a small in-house legal team, dealing with a myriad of commercial matters and government contracting regulations. The AGC will handle...
Start Date: As soon as possible Position Summary The General Counsel is responsible for ensuring compliance with regulations, identifying and... documenting regulatory risks, and assisting the... organization in developing controls. This position involves planning, organizing, and executing day-to-day operational compliance activities. Job Responsibi...