Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and perform 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 in...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and interacting with internal and external...
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 efficiency and effectiveness. - Develop and implement a multi-year strategic plan aligning with Member...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert-level position within the Strategic Intelligence & Analytics (StratIntel) department of the organization. This role involves utilizing an expanded skillset and expertise related to the mission of...
Title: Associate, HONORS Program Job Responsibilities: FINRA Enforcement Associates in the Honors Program are tasked with contributing significantly to Enforcement's investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. The role provides substantive hands-on legal experience, enhancing...