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. This includes setting a multi-year strategic plan,...
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 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 Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a pivotal role within the StratIntel mission of the department, primarily tasked with enhancing investor protection and market integrity through informed regulatory decisions. The key responsibilities include: - Leading complex analytical projects...
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 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: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist operates within the Strategic Intelligence & Analytics (StratIntel) organization, a part of the Member Supervision department. The role involves providing proactive and strategic intelligence to support investor protection and market...
Title: Associate, HONORS Program-1 Job Responsibilities: The Associate in the HONORS Program is tasked with making significant contributions to the organization's Enforcement investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. This entry-level role allows the Associate...