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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: Principal Analyst, Regulatory Services Management Organization:... Principal Analyst in the Regulatory Services Management team (“RSM”)... in FINRA’s Department of Market Regulation and Transparency Services (“MRTS”) is responsible for performing a wide variety of tasks in support of establishing...
Full Time Salary Range: $149,600 - $351,200 (varies by location and experience) Experience: Significant securities, compliance, or financial regulatory experience required Job... Requisition ID: R-007655 Date Posted: Posted Yesterday Location: Any FINRA Location #LI-...
Director, Special Investigations Unit - Any FINRA Location Full Time R-007744 Overview: The Senior Director within FINRA’s Special Investigations Unit (SIU) will be responsible for overseeing the anti-money laundering (AML) and anti-fraud investigative functions. This includes...
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Principal Analyst, Risk Monitoring - Any FINRA Location H2: Senior-Level Position with the Opportunity for Advancement Organization: FINRA Job Title: Principal Analyst, Risk Monitoring Job Requisition ID: R-008120 Time Type: Full Time Posted On: Posted Today Summary:...