Title: Associate, HONORS Program Job Responsibilities: The Associate in the Honors Program at the organization plays a crucial role in contributing to Enforcement’s investigations and determining whether to bring disciplinary actions against individuals and firms in the financial industry. Honors Associates engage...
ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and interact with internal and external parties. - Conduct risk monitoring activities that may include complex or elevated...
ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Support a Risk Monitoring Director by identifying existing and emerging risks, and facilitating interactions with internal and external parties. - Conduct risk monitoring activities for complex or elevated risk...
ongoing risk assessments of FINRA members, reporting to a... Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and engage in interactions with internal and external parties. - Conduct risk monitoring activities for complex or elevated...
ongoing risk assessments of FINRA members, reporting directly to... a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks and manage interactions with both internal and external parties. - Carry out risk monitoring tasks, which may...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is a key figure within the StratIntel division of the organization’s Member Supervision department. The role is centered on delivering proactive intelligence to enhance investor protection and market integrity. The responsibilities include: -...
Title: Principal Intelligence Specialist Job Responsibilities: The Principal Intelligence Specialist is integral to the mission of StratIntel within the Member Supervision department of the organization. The role includes leading sophisticated analytical projects that identify emerging market risks with minimal oversight. The specialist...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the Firm Grouping and set a multi-year strategic plan aligning with Member Supervision goals and vision. - Manage priorities, collaborate with cross-functional partners, and integrate examination efforts with...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead the operations and execution of the Capital Markets, Fixed Income Specialist, and Compliance teams, consisting of over 120 examiners and managers. - Set multi-year strategic plans and manage priorities...
Title: Senior Principal Intelligence Specialist Job Responsibilities: The Senior Principal Intelligence Specialist operates as an advanced expert within the Strategic Intelligence & Analytics (StratIntel) department of the organization’s Member Supervision department. This role involves utilizing a comprehensive skillset and expertise pertinent to...
Firm Seeking Labor and Employment Associate in Princeton, NJ **Members Only**, a full-service law firm with offices in Pennsylvania, New Jersey, NYC, and Wilmington, DE, is seeking a Labor and Employment Associate for their Princeton office. This is...
OverviewA law firm seeks an Associate Attorney for its Investment Management and Securities practice in Hamilton, NJ. The ideal candidate will be self-directed and detail-oriented, capable of managing multiple tasks in a fast-paced , identify, and advise clients on regulatory...