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Director, Special Investigations Unit - Any FINRA Location Full Time R-007744 Overview: - Senior leadership position within FINRA’s Special Investigations Unit (SIU) - Oversees anti-money laundering (AML) and anti-fraud investigative functions - Leads specialist AML Investigations...
effectively develop and execute on strategy, engage in liaison with key partners and government agencies, as well as... achieve the goals and priorities of the department. Responsible for all typical strategic advisor functions and oversees all MAP Triage functions....
President, Risk Monitoring - Trading and Execution Firm Grouping The candidate oversees teams focused on the tailoring of risk monitoring and assessment for firms under their responsibility, as well as the exam plan and scope of exams. Provides strategic leadership...
Director, Retail Risk Monitoring The candidate will be the single point of accountability for the risk assessment, planning and execution of examinations, based on risks identified for a particular Firm Group and/or Subgroup. Provides strategic leadership in a Firm Grouping...
Manage responses to SEC inspections and oversights, manage responses to government access requests, ensure timely... completion of audit commitments, and manage the department's policies and procedures administration function. Manage responses to requests involving Securities and Exchange Commission (SEC) oversight inspec...