Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a crucial role in the StratIntel division of the organization's Member Supervision department. This position is pivotal in enhancing investor protection and market integrity through informed regulatory decisions. The key responsibilities...
Title: Principal Analyst, Risk Monitoring - Retail Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of organization members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director by identifying existing and emerging risks and interacting with internal...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead operations and execution for Capital Markets, Fixed Income Specialist, and Compliance teams, comprising over 120 examiners and managers. - Set multi-year strategic plans aligning with Member Supervision goals and...
Manager/Senior Negotiator - State, Local and Higher Education The candidate will support the company's GPS practice from a contracting and negotiation perspective, covering the full life cycle of an engagement. Assist with deal desk and contract review activities and support...
Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks, and facilitate interactions with internal and...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst within the Office of Strategic Engagement (OSE) team is tasked with supporting the External Strategic Engagements leadership team. This includes representing the team where appropriate and leading the...
Title: Principal Analyst, Risk Monitoring - Capital Markets 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 assist in interactions with internal and external parties. -...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist holds an advanced expert-level position that involves a comprehensive set of responsibilities aligned with the mission of the **Members Only** department. The specialist's primary responsibilities include: - Collaborating across the organization and...
Title: Associate, HONORS Program Job Responsibilities: **Members Only** Enforcement Associates, Honors Program make meaningful contributions to Enforcement’s investigations and decisions about whether to bring disciplinary actions against individuals and firms in the financial industry. Honors Associates gain substantive hands-on legal experience that develops...
large full service firm is very women-oriented, and it has created many benefits to appeal particularly to women, including flexible work arrangements and 12-week paid maternity leave. Many of the firm’s attorneys are active in many community, professional and...
Title: Data Analytics Manager Job Responsibilities: As a key member of the Knowledge Management and Innovation team, the Data Analytics Manager is primarily responsible for supporting the delivery of data-driven legal solutions and analysis to both internal and external clients. The manager...
Title: E-Filing and Docketing Specialist (Attorney Resource Center) Job Responsibilities: The E-Filing and Docketing Specialist plays a crucial role within the Attorney Resource Center, focusing on docketing and court filing. This position provides critical date management and court/administrative agency filing support to...
Title: Collections/Client Relations Coordinator Job Responsibilities: The Collections/Client Relations Coordinator is tasked with managing and executing the collection of outstanding accounts receivable. The primary responsibilities include ensuring timely payments from clients, maintaining accurate records, and collaborating with internal departments to resolve billing...