Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst plays a crucial role within the Office of Strategic Engagements (OSE) of the Member Supervision department. The primary responsibilities include: - Supporting the External Strategic Engagements leadership team...
Title: Senior Litigation Assistant, Clean Energy Program Job Responsibilities: The Senior Litigation Assistant will provide administrative and litigation support services to a team of approximately thirty attorneys within the Clean Energy Program. The responsibilities include: - Preparing and editing documents...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks, and interact with internal and external parties. - Conduct risk monitoring activities, including...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead operations and execution for Capital Markets, Fixed Income Specialist, and Compliance teams, comprising over 120 examiners and managers. - Develop and implement a multi-year strategic plan aligned with Member...
Title: Litigation Paralegal Job Responsibilities: The Litigation Paralegal is responsible for providing comprehensive administrative and litigation support throughout all phases of the litigation process. Key responsibilities include: - Formatting, proofreading, and fact-checking documents to be filed in court. - Generating tables of contents and...
Intelligence Specialist Job Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a critical position within the department of StratIntel at the organization, which is committed to delivering proactive intelligence to enhance investor protection and market integrity. The primary responsibilities for this...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties to address these...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and in interactions with internal and...
Title: Principal Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Monitor complex...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a key member of the StratIntel team within the Member Supervision department at the organization. This role is critical to the mission of delivering proactive intelligence to enhance investor protection and...
**Members Only** program within the organization's Member Supervision department. This position is integral to the Financial Intelligence Fusion Center (FIFC), tasked with aggregating, analyzing, and disseminating real-time intelligence from various sources, including member firms, regulators, and law enforcement. The specialist's responsibi......
Title: Paralegal ILD Job Responsibilities: The Paralegal ILD is tasked with providing general paralegal support for the Legal Protection team within the organization. The role involves conducting intake, legal and factual research, and assessing cases to determine eligibility. The paralegal is responsible...