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Principal Counsel, Enforcement - Competitive Salary and Benefits H2: Join Our Team at FINRA - Apply Today! Summary: FINRA, a leading financial regulatory organization, is seeking a highly experienced Principal Counsel to join their Enforcement team. The successful candidate will be responsible for...
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...
Analyst, Risk Monitoring-Diversified, Carrying and Clearing - ANY FINRA location Full time position with FINRA, a leading regulatory organization for the financial industry. Job Responsibilities: Conduct risk monitoring activities and ongoing risk assessments for FINRA members,...
Risk Monitoring - Capital Markets Full-time position Job Requisition ID: R-008111 Role Overview: The Director of Risk Monitoring is responsible for overseeing the implementation and completion of the Risk Monitoring Program for a specific Firm Grouping...
a principal analyst in risk monitoring, you will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members. You will report to a Risk Monitoring Director and support them in identifying existing and emerging risks. This...
Senior Director, Cyber-Enabled Fraud and Analytics - Any FINRA Location H2: Job Description and Requirements Organization: FINRA Department: Cyber and Analytics Unit (CAU) Job Type: Full Time Salary Range: $149,600 - $351,200 (varies by location...