Title: Associate, HONORS Program Job Responsibilities: FINRA Enforcement Associates in the Honors Program are tasked with contributing significantly to Enforcement's investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. The role provides substantive hands-on legal experience, enhancing...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of **Members Only** members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and interact with internal and external...
(OSE) is integral to executing high-visibility external engagements and publications that share insights and intelligence with the securities industry. The role involves... the development of publications, speaker preparation materials, and other messaging for external audiences, including member firms. Key responsibiliti...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and perform ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks, and engage in...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and interacting with internal and external...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the strategic direction and execution of the Examinations Program for the Firm Group, ensuring efficiency and effectiveness. - Develop and implement a multi-year strategic plan aligning with Member...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the operations and execution of the Capital Markets, Fixed Income Specialist, and Compliance teams, comprising over 120 examiners and managers. - Develop a multi-year strategic plan aligning with Member...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is an advanced expert-level position within the Strategic Intelligence & Analytics (StratIntel) department of the organization. This role involves utilizing an expanded skillset and expertise related to the mission of...
Title: Post-Graduate Fellowship Sponsorship Overview **Members Only** (referred to as organization) is inviting third-year law students and recent law school graduates to propose innovative fellowship projects. These projects are intended for submission to programs such as Equal Justice Works, Skadden, and...