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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...
Friendly Job Title: Principal Analyst, Regulatory Services Management H1 Heading: Join FINRA as a Principal Analyst in Regulatory Services Management H2 Heading: Exciting Opportunity in Market Regulation and Transparency Services Bold Headlines: - Senior-level professional work in...
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a principal analyst in risk monitoring, you will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members. You will report to a Risk Monitoring Director and support them in identifying existing and emerging risks. This...
Friendly Job Title: Principal Analyst, Risk Monitoring - Any FINRA Location H1: Join FINRA as a Principal Analyst, Risk Monitoring H2: Conduct Risk Monitoring Activities and Assessments for FINRA Members Bold Headline: Senior-Level Position with Opportunity for...
more information about equal employment opportunity, please click here. Title: Director, Regulatory Services Management (Full-Time) Salary Range: $127,300 - $296,100 (Based on Location and Experience) Organization: FINRA (Financial Industry Regulatory Authority) H1: Director, Regulatory Services...
- Job title: Strategic Advisor, Market Regulation & Transparency Services - Organization: FINRA (Financial Industry Regulatory Authority) - Experience: Minimum of 10 years in securities, compliance or financial regulation - Education: Bachelor's degree required, MBA, JD, or other relevant...
applicants for this position must possess unrestricted authorization to work in the United States. The organization is currently seeking an experienced Associate Principal Analyst, Risk Monitoring to join their team at any FINRA location. This is a full-time...
FINRA FINRA is a registered trademark of the Financial Industry Regulatory Authority, Inc. FINRA is an equal opportunity employer and provides equal opportunity to all individuals without regard to race, color, religion, sex, gender identity, sexual orientation, age,...
Director, Enforcement Central Intake Group: - Lead and manage the Enforcement Central Intake Group (CIG) team, collaborating with Enforcement's referring partners and playing a critical role in administering matters across Regulatory Operations (RegOps). - Responsible for providing oversight and...