the Board of Governors and senior management on complex and sensitive... regulatory initiatives and rule changes. - Provide expert legal advice on high-impact regulatory policy matters. - Serve as the key legal expert within the organization in specific regulatory areas....
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of **Members Only** members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director by identifying existing and emerging risks and engaging with both internal and...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagements (OSE) within the Member Supervision department is tasked with supporting the leadership team in all aspects of the group’s responsibilities, with a...
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 in collaboration with a Risk Monitoring Director and interact with...
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, and interact with internal and external parties in this senior-level...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and perform ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and engaging with both internal...
Title: Senior Director & Counsel, Enterprise Data Privacy Office Job Responsibilities: The Senior Director and Counsel, Privacy, serving as the Chief Privacy Officer (CPO), leads the organization's Enterprise Data Privacy Office and oversees its privacy function. The CPO is tasked with designing,...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Conduct risk...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support throughout the entire lifecycle of adopting new regulatory initiatives. - Serve as a subject matter expert in one or more areas of legal expertise, providing guidance under general supervision. -...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the operations and execution of the Capital Markets, Fixed Income Specialist, and Compliance teams, comprising over 120 examiners and managers. This includes setting a multi-year strategic plan, managing...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the Firm Grouping by setting multi-year strategic plans and managing priorities to align with Member Supervision goals and vision. - Work closely with cross-functional partners outside Member Supervision...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Provide senior-level legal advice and support throughout the life cycle of new regulatory initiatives, serving as a subject matter resource in various areas of legal expertise. - Advise the Board of Governors and advisory committees...
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 and serving as a subject matter expert in one or more areas of legal...
Title: Senior Program Administrator, OGC Regulation Job Responsibilities: - Provide high-level administrative support to ensure smooth day-to-day operations within the Office of General Counsel (OGC) Regulation offices. - Evaluate and refine organizational systems to enhance operational efficiency and effectiveness. - Plan and coordinate programs,...
Title: Paralegal, Litigation Job Responsibilities: The Paralegal in the Litigation group within the department of the Chief Legal Officer is tasked with assisting in responding to information requests received by the organization, its officers, and its employees. This includes handling third-party subpoenas...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagements (OSE) is tasked with supporting the External Strategic Engagements leadership team in all facets of the group's responsibilities. This includes representing the...
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 interacting with internal and external...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks with minimal supervision, particularly focusing on complex or elevated risk...
Title: Principal Analyst, Risk Monitoring 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. - Handle complex or elevated risk...
Title: Senior Director, Office of Chief of Staff, OCLO Job Responsibilities: - Oversee or lead cross-functional initiatives and special projects to advance strategic priorities in support of organizational objectives. This includes establishing project scope and timelines, defining measures of success, and managing...
Title: Senior Director & Counsel, Enterprise Data Privacy Office Job Responsibilities: The Senior Director and Counsel, Privacy serves as the Chief Privacy Officer (CPO) of the organization, leading the Enterprise Data Privacy Office and overseeing the privacy function of the organization. The...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support for the complete life cycle of new regulatory initiatives, serving as a subject matter resource in specific areas of legal expertise. - Advise the Board of Governors and advisory...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the operations and execution of the Capital Markets, Fixed Income Specialist, and Compliance teams, consisting of over 120 examiners and managers. - Set multi-year strategic plans and manage priorities...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support throughout the lifecycle of new regulatory initiatives. - Advise the Board of Governors and advisory committees on complex and sensitive regulatory initiatives and rule changes. - Brief and communicate complex...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support concerning the full life cycle of new regulatory initiatives. - Serve as a subject matter resource in specific areas of legal expertise. - Advise the Board of Governors and advisory...
Title: Senior Program Administrator, OGC Regulation Job Responsibilities: The Senior Program Administrator at the organization serves as a pivotal support role within the Office of General Counsel (OGC), specifically aiding the Regulatory Policy, Capital Markets, and Appellate offices. This position is essential...
Title: Senior Program Administrator, OGC Regulation Job Responsibilities: The Senior Program Administrator in the Office of General Counsel (OGC) at the organization plays a crucial role in maintaining and enhancing the operational efficiency of the office. Responsibilities include: - Providing high-quality administrative support...
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 to a Risk Monitoring Director. - This senior-level position supports the Risk Monitoring Director in...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagement (OSE) within the department of Member Supervision is tasked with supporting the leadership team in various high-visibility external engagements and publications. The...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks, supporting interactions with internal and external parties. - Perform risk monitoring...
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 in interactions with internal and...
Title: Senior Director & Counsel, Enterprise Data Privacy Office Job Responsibilities: The Senior Director and Counsel, Privacy, also known as the Chief Privacy Officer (CPO), leads the organization's Enterprise Data Privacy Office. The primary responsibilities include: - Designing, implementing, and...
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. - Identify existing and emerging risks and interact with internal and external parties. - Perform risk...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support concerning the life cycle of new regulatory initiatives. - Advise the Board of Governors and organization advisory committees on complex regulatory initiatives and rule changes. - Brief and communicate complex...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Provide senior-level legal advice and support throughout the lifecycle of new regulatory initiatives. - Serve as a subject matter expert in one or more areas of legal expertise. - Advise the Board of Governors and advisory...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the operations and execution of the Capital Markets, Fixed Income Specialist, and Compliance teams, comprising over 120 examiners and managers. Develop strategic plans aligned with Member Supervision goals...
Title: Assistant General Counsel, Regulatory Job Responsibilities: - Render senior-level legal advice and support throughout the life cycle of new regulatory initiatives. - Serve as a subject matter resource in specific areas of legal expertise. - Advise the Board of Governors and advisory committees...
Title: Paralegal, Litigation Job Responsibilities: The Paralegal in the Litigation group within the department of the Chief Legal Officer is tasked with assisting in the response to information requests received by the organization, its officers, and its employees. This includes handling third-party...