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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...
high complexity routine and special investigations of FINRA member... firms. This role also involves investigating potentially suspicious activities of persons associated with FINRA member firms and providing guidance to Member Supervision staff on their complex assignments. The Principal Investigator is...
FINRA organization is looking for an experienced Investigative Director to join their team in various locations. This full-time position will oversee the examinations and investigations of broker-dealers' compliance with applicable rules and regulations, as well as financial crimes. The Director...
## Special Events and Fundraising Intern... at **MEMBERS ONLY**SIGN UP NOW***. GLBTQ Legal Advocates & Defenders (**MEMBERS ONLY**SIGN UP NOW***.) is now accepting applications for a Special Events and Fundraising Intern... for the Fall 2023. The Development Team is searching for an intern to help...
Internship Opportunities at Victim Rights Law Center (VRLC) The Victim Rights Law Center (VRLC) is the first law center in the nation dedicated solely to serving the legal needs of sexual assault victims. The VRLC provides free legal services to...
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...
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 - 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...
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...