Title: Wealth Strategist Market Manager - Private Bank Job Responsibilities: - Directs and oversees the Wealth Strategy function, including critical measurements of the assigned market or group, supporting the overall mission and vision of the business. - Coordinates and conducts acquisition, performance management,...
Title: Assistant General Counsel Job Responsibilities: - Acts as a subject matter expert and provides business leaders with legal advice on issues impacting the company's discretionary and non-discretionary registered investment advisory offerings. - Ensures that business activities, policies, practices, and transactions comply with...
Title: Associate Counsel – Third Party Distribution Job Responsibilities: - Provide legal advice and representation on matters related to the company's business activities and investment products. - Prepare resolutions and participate in major legal actions. - Liaise with the business on strategic issues and...
HONORS Program-1 Job Responsibilities: FINRA Enforcement Associates in the... Honors Program are integral to the investigations and decisions regarding disciplinary actions against individuals and organizations within the financial industry. This entry-level position provides substantive hands-on legal experience and specialized knowledge...
Title: Securities Transaction and Compliance Coordinator Job Responsibilities: The Securities Transaction and Compliance Coordinator will be responsible for a variety of duties related to securities transactions and compliance within the law firm's Office of General Counsel. The key responsibilities include: - Reviewing, analyzing,...
ongoing risk assessments of FINRA members under the supervision... of a Risk Monitoring Director. - Identify existing and emerging risks and interact with internal and external parties. - Conduct risk monitoring activities for complex or elevated risk firms with minimal supervision. - Collaborate...
Title Wealth Strategist Market Manager - Private Bank Job Responsibilities - Directs and oversees the Wealth Strategy function, including critical measurements of assigned market or group. - Supports the overall mission and vision of the business. - Coordinates/conducts acquisition, performance...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a key player in the mission of StratIntel within the organization’s Member Supervision department, which focuses on delivering proactive intelligence to enhance investor protection and market integrity. Responsibilities include: - Leading complex...
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 in identifying existing and emerging risks and interacting with internal...
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. - Execute risk monitoring activities for...
Title: Senior Principal Analyst, Office of Strategic Engagements Job Responsibilities: The Senior Principal Analyst in the Office of Strategic Engagement is tasked with supporting the leadership team in External Strategic Engagements. The role involves developing high-impact publications, speaker preparation materials, and other...
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. - Support the direct manager by identifying existing and emerging risks and facilitating interactions with...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist plays a crucial role in the organization’s Member Supervision department, specifically within StratIntel, by contributing to the mission of enhancing investor protection and market integrity. The core responsibilities include: - Leading complex analytical...
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 assigned firms. - Set a multi-year strategic...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: The Vice President of Capital Markets, Fixed Income, and Compliance Testing is a strategic leader responsible for overseeing the Capital Markets, Fixed Income Specialist, and Compliance teams within the organization's...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist is a professional position within the Strategic Intelligence & Analytics (StratIntel) division of the organization’s Member Supervision department. The role involves utilizing an expanded skill set and expertise in the...
large international New York law firm founded in 1934 has established a full-service presence. Clients include large corporations and individuals as well as small and medium-sized businesses. The firm represents a wide range of industrial, financial and commercial enterprises, both...
Title Wealth Strategist Market Manager - Private Bank Job Responsibilities - Direct and oversee the Wealth Strategy function, including critical measurements of assigned market or group. - Support the overall mission and vision of the business. - Coordinate and conduct...