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Director, Special Investigations Unit - Any Finra Location Full-time position Job Requisition ID: R-007744 FINRA (Financial Industry Regulatory Authority) is seeking a Senior Director for their Special Investigations Unit (SIU) to oversee anti-money laundering (AML) and anti-fraud...
subcontractors to employ and advance in employment qualified individuals on the basis of age. FINRA is a government agency that regulates the... securities industry, and therefore, is subject to certain governmental oversight and reporting requirements. In accordance with th...
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...
Summary: - Job title: Principal Analyst, Regulatory Services Management - Organization: FINRA's Department of Market Regulation and Transparency Services - Location: Various locations (see below for salary information) - Education and experience requirements: Bachelor's degree and 8 years of...