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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...
Principal Investigator, NCP The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal...
Investigator, FINOP-NCP The candidate conducts extensive background searches of member firms and registered representatives in support of open investigations in the NCP. Provides subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various internal and...
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...
Litigation Counsel, Enforcement - Any FINRA Location Salary Information: - Minimum salary ranges from $127,300 to $152,700, depending on location. - Maximum salary ranges from $246,600 to $296,100, depending on location. - Actual compensation is based on various...
Principal Investigator, Specialist Team - All FINRA Locations H2: Job Description Organization: FINRA Job Title: Principal Investigator, Specialist Team Job Type: Full-time Location: All FINRA Locations Salary Information: - California: Minimum Salary $106,400, Maximum Salary $200,200 - Washington,...
Friendly Job Title: Assistant General Counsel, Regulatory - Full Time H1 Heading: Join FINRA as an Assistant General Counsel in our Regulatory Group H2 Headings: - Purposeful Work at a Regulator - Render Senior-Level Legal Advice and Support...
Analyst, Risk Monitoring-Diversified, Carrying and Clearing - ANY FINRA location Full time position with FINRA, a leading regulatory organization for the financial industry. Job Responsibilities: Conduct risk monitoring activities and ongoing risk assessments for FINRA members,...
Risk Monitoring - Capital Markets Full-time position Job Requisition ID: R-008111 Role Overview: The Director of Risk Monitoring is responsible for overseeing the implementation and completion of the Risk Monitoring Program for a specific Firm Grouping...