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. - Monitor complex...
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...
Intelligence Specialist Job Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a critical position within the department of StratIntel at the organization, which is committed to delivering proactive intelligence to enhance investor protection and market integrity. The primary responsibilities for this...
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, and interact with internal and external parties. - Conduct risk monitoring activities, including...
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 and interact with internal and external parties to address these...
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: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a key member of the StratIntel team within the Member Supervision department at the organization. This role is critical to the mission of delivering proactive intelligence to enhance investor protection and...
**Members Only** program within the organization's Member Supervision department. This position is integral to the Financial Intelligence Fusion Center (FIFC), tasked with aggregating, analyzing, and disseminating real-time intelligence from various sources, including member firms, regulators, and law enforcement. The specialist's responsibi......
Title: Associate, HONORS Program-1 Job Responsibilities: FINRA Enforcement Associates in the Honors Program play a crucial role in the investigations and decisions regarding whether to bring disciplinary actions against individuals and firms in the financial industry. This entry-level position provides substantive hands-on...