Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagements (OSE) within the department is responsible for supporting the External Strategic Engagements leadership team in all aspects of the group's responsibilities....
Title: Associate, HONORS Program-1 Job Responsibilities: Associates in the HONORS Program at the organization make significant contributions to the Enforcement department's investigations and decisions regarding disciplinary actions against individuals and firms in the financial industry. They gain hands-on legal experience and develop...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the operations of the Capital Markets, Fixed Income Specialist, and Compliance teams, consisting of over 120 examiners and managers, in alignment with Member Supervision goals. - Develop multi-year strategic...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is integral to fulfilling the mission of StratIntel within the Member Supervision department of the organization. The key responsibilities include: - Leading complex analytical projects to identify emerging market risks with minimal supervision. -...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and... ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Conduct risk monitoring activities, including......
Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and... interact with internal and external parties. - Conduct risk monitoring activities, including... those involving complex or elevated risk firms, with guidance and minimal supervision from a Risk Monitoring Director or designee. -...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and... ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Conduct risk monitoring activities, including......
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is instrumental in supporting the mission of the StratIntel division within the organization's Member Supervision department. The role involves leading complex analytical projects to identify emerging market risks with minimal supervision, developing...
both large and small. - Interpret IRS Code and Regulations, draft guidance,... analyze data, and develop requirements to help clients translate and implement tax rules. - Conduct gap analysis of current... state clients’ policies, procedures, and systems, and write business requirements. - Pr...
trust and estate accountings. - Perform complex calculations and reconstruction as needed. - Conduct research on state-specific principal... and income acts when necessary. - Manage client relationships and work towards retaining client goodwill. - Participate actively in business development, including sales calls, client presentation...