Project Delivery Senior Analyst - Project Delivery Senior Analyst - Regulatory, Risk and Forensic Operate The candidate will have the opportunity to work with an AML and sanctions team to support client service delivery. Perform case investigations. Assess potential AML...
Project Delivery Specialist - Project Delivery Specialist - Regulatory, Risk & Forensic Operate The candidate will manage a small team of investigators and perform case investigations. Perform Quality Control (QC) of case investigations, requests for information, and case escalations. Assess...
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...
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. - Identify existing and emerging risks and interact with internal and external parties. - Conduct risk monitoring...
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 Analyst, Risk Monitoring - Capital Markets Job Responsibilities: - Conduct risk monitoring activities and perform ongoing risk assessments of FINRA members under the supervision of a Risk Monitoring Director. - Identify existing and emerging risks, supporting the direct manager in interactions...
Title: AML Project Delivery Specialist Job Responsibilities: - Manage a small team of investigators in support of client service delivery within the AML and sanctions team. - Perform case investigations and conduct Quality Control (QC) of these investigations, requests for information, and case...
throughout case investigations. Make recommended decisions regarding case dispositions. Utilize feedback and input to improve case investigations, as required. Communicate regularly with Engagement Managers (Directors), project team members, and... representatives from various functional and/or technical teams, including escalating any matte...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Serve as the strategic examinations leader accountable for the effectiveness, efficiency, and execution of the Examinations Program for the Firm Group and its assigned firms. - Set a multi-year...
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: 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...
with Partners, Principals, Managing Directors (PPMDs) and Senior Managers... both within ICN and within the company's services lines. Performing research and analysis, drafting conclusions and communications, and strategizing on next steps in coordination with senior team members. Developing an enha...
Title: Full Time Paralegal Job Responsibilities: The paralegal will be responsible for preparing documents for submission to the Courts, with a focus on civil litigation. The position requires a high level of organization and the ability to work both independently and as...
Title: Staff Attorney - Appeals Job Responsibilities: - Represent clients on direct appeal in the Appellate Division, which includes case conferencing and strategy development, client communication and legal visits, brief drafting, oral argument, and leave applications. - Advise clients regarding potential appellate options,...
Title: Staff Attorney Job Responsibilities: The Staff Attorney will provide legal counsel and representation to clients in various essential life matters. These include consumer debts, education, employment, family law issues, juvenile cases, child support, custody, guardianship, health, housing, and income maintenance. Additionally,...