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a Director of Research Compliance **MEMBERS ONLY**SIGN UP NOW***. is seeking... a Director of Research Compliance to join our **MEMBERS ONLY**SIGN UP NOW***.... The Director of Research Compliance implements, directs, and leads... the **MEMBERS ONLY**SIGN UP NOW***. research compliance program related to all... aspects of the research compliance program, includi...
Director, MRTS Regulatory Compliance The candidate will... manage key regulatory and compliance functions for... Market Regulation and Transparency Services (MRTS). Manage responses to SEC inspections and oversights, manage responses to government access requests, ensure timely completion of audit commitments, and...
title: Assistant General Counsel, Regulatory - Full Time ... an Assistant General Counsel, Regulatory H2 heading: Senior-Level... an Assistant General Counsel, Regulatory - Senior-Level Legal Role... with Purpose and Meaning - Essential Job Functions - Education/Experience Requirements - Work...
Job Title: Principal Analyst, Regulatory Services Management Experience: Minimum... H1: Principal Analyst, Regulatory Services Management - **MEMBERS ONLY**SIGN UP NOW***... FINRA as a Principal Analyst in Regulatory Services Management Summary:... FINRA, a leading securities regulator, is seeking a highly skilled and...
is an Equal Opportunity and Affirmative Action Employer All qualified applicants will receive consideration for employment without regard to age, citizenship status, color, disability, marital status, national origin, race, religion, sex, sexual orientation, gender identity, veteran status or any...
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Director and support in identifying existing and emerging risks - Collaborate with internal departments to analyze and make recommendations on regulatory intelligence - Mentor and... coach junior risk monitoring staff - Serve in leadership roles for special projects and tech...