Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a significant role in the StratIntel mission within the organization’s Member Supervision department. Their primary responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing sophisticated...
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...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a pivotal role within the StratIntel team of the organization, which is part of the Member Supervision department. The primary responsibilities of this position include: - Leading complex analytical projects to identify...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the strategic direction and execution of the Examinations Program for the Firm Group, ensuring alignment with organizational goals and regulatory standards. - Develop and implement a multi-year strategic...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the Capital Markets, Fixed Income Specialist, and Compliance teams, consisting of over 120 examiners and managers, setting a multi-year strategic plan and managing priorities to align with Member...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert-level professional role within the **Members Only** program of the organization. This position is integral to supporting the mission of investor protection and market integrity by engaging in...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a key figure within the StratIntel division of the organization’s Member Supervision department. The role is centered on delivering proactive intelligence to enhance investor protection and market integrity. The responsibilities include: -...
Title: Principal Analyst, Risk Monitoring 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 interact with internal and external...
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...
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. - Support a Risk Monitoring Director by identifying existing and emerging risks, and facilitating interactions with...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and perform ongoing risk assessments of FINRA members, reporting directly to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is integral to the mission of StratIntel within the Member Supervision department of the organization. The role includes leading sophisticated analytical projects that identify emerging market risks with minimal oversight. The specialist...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the Firm Grouping and 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...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist operates as an advanced expert within the Strategic Intelligence & Analytics (StratIntel) department of the organization’s Member Supervision department. This role involves utilizing a comprehensive skillset and expertise pertinent to...
Title: Associate, HONORS Program Job Responsibilities: The Associate in the Honors Program at the organization plays a crucial role in contributing to Enforcement’s investigations and determining whether to bring disciplinary actions against individuals and firms in the financial industry. Honors Associates engage...
Title:** Principal Intelligence Specialist **Job Responsibilities:** The Principal Intelligence Specialist is integral to the StratIntel mission within the organization's Member Supervision department. The role involves: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing sophisticated frameworks to evaluate high-impact...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst is a critical role within the Office of Strategic Engagements team in the Member Supervision department. The primary responsibilities include supporting the External Strategic Engagements leadership team in...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Handle complex or elevated risk firms...
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 interactions with internal and external parties. - Conduct risk monitoring...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: The Principal Analyst, Risk Monitoring is responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members, reporting directly to a Risk Monitoring Director. This senior-level position supports the Risk Monitoring Director in...
Title: Senior Director, Office of Chief of Staff, OCLO Job Responsibilities: The Senior Director, Office of Chief of Staff, Offices of the Chief Legal Officer (OCLO) is a pivotal leadership role within the organization, responsible for overseeing a multitude of operational functions...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Strategic leadership for the effectiveness, efficiency, and execution of the Examinations Program for the Firm Group and assigned firms. - Develop and manage a multi-year strategic plan aligning with...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Provide senior-level legal advice and support throughout the entire life cycle of new regulatory initiatives. - Act as a subject matter resource in one or more areas of legal expertise. - Advise the Board of Governors...
Title: Assistant General Counsel, Regulatory Job Responsibilities: The Assistant General Counsel, Regulatory is responsible for providing senior-level legal advice and support throughout the lifecycle of new regulatory initiatives. Key responsibilities include advising the Board of Governors and advisory committees on complex and...
Title: Associate, HONORS Program Job Responsibilities: The position of Associate in the Honors Program involves significant contributions to the Enforcement department's investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. This entry-level role provides substantial hands-on legal...