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Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo Alternative Net Capital (ANC) Specialist Manager, Member Supervision Specialist Program - Any FINRA Location Apply Logo locations Jersey City, NJ (Job Posting)...
of broker-dealers’ compliance with applicable rules and regulations, and financial crimes. This role involves developing and supervising specialist regulatory programs, conducting routine and special examinations/investigations, and leading a... team of specialist examination staff. The Director is an expert in id...
is hiring a Tax - SAP Implementation Specialist Leader to join our Tax Management Consulting team. This position is available in 40 locations and offers a competitive salary and benefits package. As an SAP Specialist Leader, you will contribute to...
Principal Intelligence Specialist Job Description: Overview: The Financial Intelligence Unit (FIU) within the National Cause and Financial Crimes Detection Program (NCFC) of FINRA is seeking a Principal Intelligence Specialist to join their team. The FIU is responsible for...
Analyst, Risk Monitoring - Full Time Location: Any FINRA Office Job Requisition ID: R-008120 Overview: This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and...
General Counsel, Broker-Dealer/Investment Advisor Group The candidate will work with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC's program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including rendering independent...
Principal Analyst, Risk Monitoring - FINRA Location Salary Information: - California: Minimum Salary $106,400, Maximum Salary $200,200 - Washington, DC/Maryland: Minimum Salary $106,400, Maximum Salary $191,800 - Colorado/Hawaii/Minnesota/Vermont: Minimum Salary $92,500, Maximum Salary $166,800 - New York, NY: Minimum Salary...
FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA is an Equal Opportunity and Affirmative Action Employer All qualified applicants will receive consideration for employment without regard to age, citizenship status, color,...
Principal Analyst, Risk Monitoring - Any FINRA Location: Full Time As an Associate Principal Analyst for Risk Monitoring at FINRA, you will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members. This is a...
FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA is an Equal Opportunity and Affirmative Action Employer All qualified applicants will receive consideration for employment without regard to age, citizenship status, color,...