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H1 Staff Attorney ## H2 CWS is an Equal Opportunity Employer CWS is a leading global organization dedicated to helping individuals and communities around the world. We are looking for a Staff Attorney to join our team and...
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...
Analyst, Risk Monitoring The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. Conducts...
Analyst, Risk Monitoring The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. Conducts...
President, Risk Monitoring - Trading and Execution Firm Grouping The candidate oversees teams focused on the tailoring of risk monitoring and assessment for firms under their responsibility, as well as the exam plan and scope of exams. Provides strategic leadership...
Director, Retail Risk Monitoring The candidate will be the single point of accountability for the risk assessment, planning and execution of examinations, based on risks identified for a particular Firm Group and/or Subgroup. Provides strategic leadership in a Firm Grouping...
Director, MAP The candidate reports directly to the Vice President, Membership Application Program & Statutory Disqualification. Senior leaders responsible for the management and assessment of firm group membership applications and materiality consultations. Leads and implements the strategic direction of the...
Risk Monitoring - Capital Markets - Any FINRA Location Full-time Posted 2 Days Ago Job Requisition ID: R-008111 To ensure the implementation and completion of the Risk Monitoring Program for a specific Firm Grouping or Sub-Grouping...