Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the Firm Grouping by setting a multi-year strategic plan and managing priorities to align with the goals and vision of Member Supervision. - Work closely with cross-functional partners...
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, consisting of over 120 examiners and managers. This includes setting a multi-year strategic...
The following jobs are no longer active but were real openings previously posted by employers. These listings provide valuable insight into employer hiring trends and frequently lead to job offers. In many cases, employers are still hiring or open to strong candidates even if no new job is posted. Applying to these listings often makes you the only applicant, increasing your chances of being hired.
Vice President and Chief of Staff, Member Supervision The candidate: Leads a variety of cross-functional initiatives, in the advancement of the strategic direction of Member Supervision in support of firm’s organizational goals. This includes building and/or identifying teams to work through the completion of large, high profile projects, in addition to owning the scope, identifying measures of success, and managing the team(s) through successful completion of the i... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Vice President, National Cause and Financial Crimes Detection Programs The candidate will be a key member of the Member Supervision leadership team and provide critical leadership in overseeing several programs designed to identify and investigate potential financial crimes and violative activity, including fraud and insider trading. Will create and maintain a collaborative working environment and improve the flow of information to more effectively address risks ac... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Monitoring Analyst - Capital Markets The candidate will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Conducts risk monitoring for member firms that can include complex or elevated risk firms with guidance and moderate supervision of a Risk Monitoring Director or designee. Collaborates with internal departments to analyze, communicate and make recommendations with respect t... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Risk Monitoring Analyst – Clearing / Diversified The candidate will be responsible for conducting risk monitoring activities and ongoing risk assessments of company members reporting to a Risk Monitoring Director. Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. Collaborates with internal departments to analyze, communicate and make recommendations w... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Analyst, Capital Markets and Investment Banking Services, Niche / Other and Private Placement - Institutional Investors The candidate will be responsible for conducting risk monitoring activities and ongoing risk assessments of company members reporting to a Risk Monitoring Director. Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. Collaborates with... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Analyst, Capital Markets M&A, Investment Banking The candidate will be responsible for conducting risk monitoring activities and ongoing risk assessments of company members reporting to a Risk Monitoring Director. Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. Collaborates with internal departments to analyze, communicate and make recommendations w... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Principal Analyst, Capital Markets M&A Investment Banking The candidate will be responsible for conducting risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. This is a mid-level position with staff developing in role and reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks. Conducts risk monitoring for member firms that can include complex or... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Monitoring Analyst - Member Supervision, Capital Markets The candidate will br responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. Collaborates with internal departments to analyze, communicate and make recommendations... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Principal Analyst, Capital Markets M&A Investment Banking The candidate will be responsible for conducting risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. This is a mid-level position with staff developing in role and reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks. Conducts risk monitoring for member firms that can include complex or... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here
Analyst - Risk Monitoring, Diversified Group The candidate will be responsible for conducting risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. Conducts risk monitoring activities, that can include comple... read more
Note: This job is no longer active. It was originally posted on [Date] and is part of LawCrossing’s historical archive of legal jobs. While the position may have been filled, employers often remain open to exceptional candidates for similar roles. LawCrossing has tracked this employer's hiring activity for over 25 years. This listing is provided for informational and outreach purposes and may still lead to employment. Learn more about archive jobs and how powerful they are for your search, click here