Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members. - Report to a Risk Monitoring Director and support in identifying existing and emerging risks. - Interact with internal and external parties for effective risk...
aspects of the group's responsibilities, representing the team where appropriate. - Lead the development of high visibility and... high impact publications, speaker preparation materials, and other messaging and information-sharing with external audiences, including member firms. - Build relationships and work closely wit...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks while interacting with internal and external parties. - Conduct risk monitoring...
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. - Monitor complex or elevated risk...
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 by identifying existing and emerging risks and interacting with...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Serve as a strategic leader for the Firm Grouping, responsible for setting a multi-year strategic plan and managing priorities aligned with Member Supervision goals and vision. - Collaborate closely...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead and oversee the operations of the Capital Markets, Fixed Income Specialist, and Compliance teams, which include over 120 examiners and managers. - Set multi-year strategic plans and manage priorities...
Intern/Clerkship - Community Revitalization Project (CRP) Job Responsibilities: - Assist attorneys... in providing legal services, advocacy, and transaction work related to community revitalization. - Conduct legal and factual research under the supervision of an attorney. - Assist with community education and develop case strategies...
Title: Senior Counsel Job Responsibilities: - Litigate complex cases at both appellate and trial levels, focusing on advanced and intricate litigation tasks. - Undertake immediate legal action in urgent circumstances, demonstrating initiative as a senior attorney to investigate potential cases. - Represent clients in...