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a desire to learn new systems Ability to work independently and as part of a team in a fast-paced environment In return, we offer: Competitive salary Comprehensive benefits including medical, dental, vision, 401K Flexible...
Automotive Dealership Tax Manager WithumSmith+Brown is looking for a motivated and experienced Tax Manager to join their Auto/Dealership practice. This position will be based out of their Philadelphia, Florida, or New Jersey Offices and will take a lead role...
high complexity routine and special investigations of member firms;... investigates potentially suspicious activities of persons associated with member firms; and provides guidance to Member Supervision staff on their complex assignments. This position proactively surveilles the industry and identifies fraudulent conduct...
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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...
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...
Advisor, Member Supervision The candidate will provide critical leadership and strategic support to the Senior Vice President in the performance of a full and diverse range of functions. Enable the SVP to effectively develop and execute on strategy, engage in...
Senior Director, Cyber-Enabled Fraud and Analytics - Any FINRA Location H2: Job Description and Requirements Organization: FINRA Department: Cyber and Analytics Unit (CAU) Job Type: Full Time Salary Range: $149,600 - $351,200 (varies by location...
Analyst, Risk Monitoring The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. Conducts...
Analyst, Risk Monitoring The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. Conducts...