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...
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 complex or elevated risk firms, with guidance and minimal supervision from...
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 with internal and external parties. - Manage complex or elevated risk firms with guidance and minimal...
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: 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...
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: 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 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...
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...