Title: Associate General Counsel Job Responsibilities: The Associate General Counsel at the organization is responsible for providing guidance and counsel to internal stakeholders on a wide range of legal matters. These include general operations and administration, nonprofit governance, contracts, fundraising, labor and...
Title: Managing Counsel & Deputy Compliance Officer Job Responsibilities: The Managing Counsel & Deputy Compliance Officer is a critical member of the legal team, working closely with the Chief Compliance Officer and broader legal department to provide guidance on various legal and...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a pivotal role within the StratIntel team of the organization's Member Supervision department, aimed at enhancing investor protection and market integrity. The key responsibilities include: - Leading complex analytical projects to identify...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a critical role in the StratIntel division of the organization's Member Supervision department. This position is responsible for delivering proactive intelligence to enhance investor protection and market integrity through informed, timely...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist plays a crucial role in supporting the mission of the Strategic Intelligence & Analytics (StratIntel) organization within the department. The position involves the collection, analysis, processing, and dissemination of strategic...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting directly to a Risk Monitoring Director. - Identify existing and emerging risks and interact with both internal and external parties to...
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 interact with internal and external...
Title: Chief Risk Officer Job Responsibilities: - Provide strategic and operational leadership in assessing and mitigating significant and developing enterprise risks at the organization. - Contribute to audit functions, business continuity, claims management, insurance, physical security, integrated risk management, and all other active...
ensuring compliance with applicable laws, Executive Orders, and policies. -... and conduct research on legal aspects of business and corporate activities. - Maintain awareness of potential risks and obligations while ensuring compliance with federal, state, and local laws and regulations. - Offer lega......