Title: Associate, HONORS Program-1 Job Responsibilities: FINRA Enforcement Associates in the Honors Program are integral to the investigations and decisions regarding disciplinary actions against individuals and organizations within the financial industry. This entry-level position provides substantive hands-on legal experience and...
Title: Associate General Counsel Job Responsibilities: The Associate General Counsel (AGC) is tasked with independently managing the legal team that provides services to the South, New York, and Northeast Divisions of the North America Region within the organization. Reporting directly to the...
Attorney at a reputed firm works in close collaboration... with the Executive Director to further the organization's mission. This role is pivotal, as it encompasses the management of all legal programs, staff attorneys, and volunteer coordinators. The Managing Attorney is...
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: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead operations and execution for Capital Markets, Fixed Income Specialist, and Compliance teams, comprising over 120 examiners and managers. - Develop and implement a multi-year strategic plan aligned with Member...
members, reporting to a Risk Monitoring Director. - Support the direct manager by identifying existing and... emerging risks and facilitating interactions with internal and external parties. - Execute risk monitoring activities, potentially involving complex or high-risk firms, with guidance and minimal supervisi...
Risk Monitoring Director. - Identify existing and emerging risks, supporting both direct manager and interactions with internal... and external parties. - Conduct risk monitoring activities, which may include complex or elevated risk firms, with guidance and minimal supervision of a Risk M...
a Risk Monitoring Director. - Support the direct manager in identifying existing and... emerging risks and manage interactions with internal and external parties. - Conduct risk monitoring activities, which may include complex or elevated risk firms, under the guidance and minimal supervisio...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a critical role in the StratIntel mission within the organization's Member Supervision department. This role is instrumental in delivering proactive intelligence to enhance investor protection and market integrity. Key responsibilities include: -...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a crucial member of the StratIntel team within the organization’s Member Supervision department. This role involves: - Leading complex analytical projects with minimal supervision to identify emerging market risks. - Developing sophisticated frameworks...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a crucial role in the StratIntel mission within the organization's Member Supervision department. The key responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing sophisticated...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a critical role in the StratIntel division of the organization's Member Supervision department. This position is responsible for delivering proactive intelligence to enhance investor protection and market integrity through informed, timely...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst plays a crucial role within the Office of Strategic Engagements (OSE) of the Member Supervision department. The primary responsibilities include: - Supporting the External Strategic Engagements leadership team...
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 Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a critical role within the StratIntel division of the organization's Member Supervision department. The responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal supervision. - Developing sophisticated frameworks...
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, aimed at enhancing investor protection and market integrity. The key responsibilities include: - Leading complex analytical projects to identify...