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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...
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...
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...
Member Supervision Operations, Procedures, and Standards The candidate will provide strategic leadership and guidance and establish procedures and standards across the program as well as advise and collaborate with various groups conducting reviews of the program including the SEC, Internal...
Friendly Job Title: Director, Risk Monitoring - Capital Markets H1 Heading: Director, Risk Monitoring - Capital Markets - Any Finra Location H2 Heading: Essential Job Functions Bullet Points: - Supervise the activities of Risk Monitoring Analysts for...
Principal Analyst, Risk Monitoring - Any FINRA Location H2: Essential Job Functions H2: Education & Experience Requirements H2: Knowledge Requirements H2: Skill Requirements H2: Salary Information H2: Time Off and Paid Leave H2: Important Information H2: Search Firm Representatives H2:...