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commensurate with experience) CLS is seeking a Family Violence Justice Fund Paralegal to join our team in the Boulder Office. The ideal candidate will have a passion for working on behalf of survivors of family violence and a strong...
Senior Director, Special Investigations Unit - Any... Senior Director within FINRA’s Special Investigations Unit (SIU) is... responsible for overseeing the anti-money laundering (AML) and anti-fraud investigative functions. This role includes leadership of the specialist AML Investigations teams and Anti-Fraud Investigations...
high complexity routine and special investigations of member firms;... investigates potentially suspicious activities of persons associated with member firms; and provides guidance to Member Supervision staff on their complex assignments. This position proactively surveilles the industry and identifies fraudulent conduct...
Principal Investigator, Specialist Teams, is a full-time position located at all FINRA locations. The salary for this position varies depending on location, experience, and qualifications, with a range of $92,500 to $200,200. This position is responsible for conducting high complexity...
R-008114 The Investigations Director, Specialist Team, manages examinations and investigations of broker-dealers’ compliance with applicable rules and regulations, and financial crimes. The Director develops and supervises specialists regulatory programs and work products related to the routine and special examinations/inv...
General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent...
Advisor, Member Supervision The candidate will provide critical leadership and strategic support to the Senior Vice President in the performance of a full and diverse range of functions. Enable the SVP to effectively develop and execute on strategy, engage in...
Analyst, Risk Monitoring - Retail The candidate will conduct risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Report to a Risk Monitoring Director and support both that direct manager in identifying existing and...
Principal Analyst, Risk Monitoring The candidate will conduct risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Report to a Risk Monitoring Director and support both that direct manager in identifying existing and emerging...
Analyst, Risk Monitoring The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. Conducts...