Title: Associate General Counsel, Capital Markets Job Responsibilities: 1. **Regulatory Guidance... and Advisory**: - Direct and manage the full lifecycle of adopting new regulatory requirements. - Advise the Board of Governors and senior management on complex and sensitive regulatory initiatives and rule...
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. - Conduct risk monitoring activities...
Job Title: Vice President, Capital Markets, Fixed Income, and... and execution of the Capital Markets, Fixed Income Specialist,... and Compliance teams, comprising over 120 examiners and managers. This includes setting a multi-year strategic plan, managing priorities to align with Member...
Analyst, Risk Monitoring - Capital Markets 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. - Perform risk monitoring activities...
Job Title: Vice President, Capital Markets, Fixed Income, and... and execution of the Capital Markets, Fixed Income Specialist,... Supervision goals and collaborate with cross-functional partners. - Oversee all fixed income, capital markets, and compliance examinations,... ensuring coordination with other exam tea...
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, supporting both direct manager and interactions with internal and external parties. -...
Job Title: Vice President, Capital Markets, Fixed Income, and... and execution of the Capital Markets, Fixed Income Specialist,... and Compliance teams, consisting of over 120 examiners and managers. - Set multi-year strategic plans and manage priorities in alignment with Member Supervision...
within the Office of General Counsel (OGC), specifically aiding the Regulatory Policy, Capital Markets, and Appellate offices.... This position is essential for ensuring the smooth operation of the OGC's administrative processes and programmatic functions. Key responsibilities include: - Providing high-quality admin...