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General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent...
Principal Analyst, Regulatory Services Management H1 Heading: Join... Analyst in Regulatory Services Management H2 Heading: Exciting... work in Regulatory Services Management - Perform a variety... of tasks in support of establishing and maintaining controls for standard and non-standard...
2021 **MEMBERS ONLY**SIGN UP NOW***. All rights reserved. FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. Sr Vice President, Corp Financing & Advertising Regulation - The Sr Vice President of Corporate Financing and Advertising Regulation is...
Principal Analyst, Dispute Resolution Services Training H2: Job Description Organization: FINRA Job Title: Principal Analyst, Dispute Resolution Services Training Job Requisition ID: R-007973 Locations: Chicago, IL; Jersey City, NJ; Boca Raton, FL; New York, NY; Los...
Analyst, Risk Monitoring-Diversified, Carrying and Clearing - ANY FINRA location Full time position with FINRA, a leading regulatory organization for the financial industry. Job Responsibilities: Conduct risk monitoring activities and ongoing risk assessments for FINRA members,...
Instructional Designer Organization: FINRA (Financial Industry Regulatory Authority) Employment Type: Full-time Location: Multiple locations (Chicago, IL; Jersey City, NJ; Boca Raton, FL; Washington, DC; Rockville, MD; New York, NY; Los Angeles, CA) About the Organization: FINRA is a not-for-profit...
Risk Monitoring - Capital Markets Full-time position Job Requisition ID: R-008111 Role Overview: The Director of Risk Monitoring is responsible for overseeing the implementation and completion of the Risk Monitoring Program for a specific Firm Grouping...
a principal analyst in risk monitoring, you will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members. You will report to a Risk Monitoring Director and support them in identifying existing and emerging risks. This...
General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent...
Designer - Create and Deliver Training for Financial Industry Regulatory Authority FINRA is a not-for-profit entity that operates under the oversight of the SEC and has a mission of investor protection and market integrity. They are currently seeking an...