by leading complex analytical projects aimed at identifying emerging... market risks with minimal supervision. The specialist is responsible for developing sophisticated frameworks to evaluate high-impact threats and providing expert insights on strategic targets that affect investor protection. They translate complex...
StratIntel team within the organization’s Member Supervision department. This role involves: - Leading complex analytical projects with minimal supervision to... identify emerging market risks. - Developing sophisticated frameworks to evaluate high-impact threats. - Providing expert insights on strategic targets affecting investor protection. - Tr...
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...
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: 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. - Support the direct manager in identifying existing and emerging risks and manage interactions with...
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: Litigation & Employment Paralegal Job Responsibilities: - Oversee new matter intake, subpoena intake, and document requests while managing case information, litigation support services, and employment workflows within the organization's matter management system. - Support the organization’s litigation discovery and document collection functions...