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Senior Analyst, Public Offerings - Remote ... Department: Corporate Financing Public Offerings Job Requisition... FINRA (Financial Industry Regulatory Authority) is seeking a Senior Analyst for their Corporate Financing Public Offerings department. This role... involves analyzing complex and...
is seeking an Associate Principal Corporate Actions Analyst to join its Rockville, MD team. This is an entry-level professional role in which the incumbent will perform their assigned roles, develop job-related skills, and work under direct supervision. ## Job...
Senior Employee Relations Manager **Organization** is seeking a Senior Employee Relations Manager to join its People Solutions Department. The Senior Employee Relations Manager will be responsible for conducting investigations into employee complaints and allegations of misconduct, identifying risks, providing...
Senior Analyst, Public Offerings The candidate analyzes... complex and high-profile public offering transactions. Reviews and... investigates proposed public offering underwriting arrangements to... ensure compliance with the organization and SEC rules as well as other securities laws. Ensures underwriting compensation is...
Director, Cyber-Enabled Fraud and Analytics - Any FINRA Location Full time Posted Yesterday Job Requisition ID: R-007655 The Senior Director within FINRA’s Cyber and Analytics Unit (CAU) leads the Cyber-Enabled Fraud (CEF) team responsible for overseeing...
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...
friendly job title: Senior Director, Special Investigations Unit - Any FINRA Location H1: Senior Director - Special Investigations Unit H2: Job Description and Responsibilities Bold Headlines: - Join the leading securities regulator in the US -...
abides by the requirements of 41 CFR ), ) and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and prohibit discrimination against all individuals based on their race, color,...
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...