Title: Senior Counsel, Corporate Transactions Job Responsibilities: - Provide legal counsel and support to the organization's business entities concerning strategic and complex corporate transactions, including mergers, acquisitions, joint ventures, and affiliations. - Negotiate and review highly complex and technical legal agreements and documents,...
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 - Retail 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...
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. - Interact with both internal and external...
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...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a pivotal role within the StratIntel team of the organization’s Member Supervision department. The individual in this position is responsible for leading complex analytical projects aimed at identifying emerging market risks...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the strategic examinations program for the Firm Group, ensuring effectiveness, efficiency, and proper execution. - Develop a multi-year strategic plan aligned with Member Supervision goals and vision. - Collaborate...