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policies, strategies, and decisions, collaborating with other FINRA departments, and managing a team of staff members. H1: Vice President, Corporate Financing - Lead and Manage Department for Regulatory Compliance and Investor Protection... H2: Develop Policies, Collaborate with Other Departments,...
Principal, Enforcement Central Intake Group Apply Logo locations Rockville, MD (Job Posting) Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) locations Chicago, IL...
Analyst, MS Operations, Procedures and Standards - All FINRA Locations Apply time type Full time posted on Posted Today job requisition id R-008792 This position is an experienced individual contributor in Member Supervision Operations, Procedures and...
Analyst, MS Operations, Procedures and Standards - All FINRA Locations Apply Logo locations New York, NY (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting)...
Advisor, Member Supervision - All FINRA Locations Apply Logo Strategic Advisor, Member Supervision - All FINRA Locations Apply Logo locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job...
playing a critical role in administering matters across Regulatory Operations (RegOps). - Responsible... for providing oversight and active management of CIG staff, ensuring timely and high-quality analysis of matters, and collaborating with team members and stakeholders. - Possess substantial expertise...
Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo Alternative Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo locations Jersey City, NJ (Job Posting)...
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,...
direction of the Cause Investigations program for a particular firm grouping - Collaborates with other departments and external parties to share intelligence and trends, provide feedback, and facilitate collaborative investigative work - Adapts to changing regulatory and business environment ......
Director, Operations, Procedures and Standards - All FINRA Locations Apply Logo Senior Director, Operations, Procedures and Standards - All FINRA Locations Apply Logo locations Woodbridge, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting)...