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Analyst, Risk Monitoring - All FINRA Locations Apply Logo time type Full time posted on Posted 7 Days Ago job requisition id R-008728 Responsible for conducting risk monitoring activities and ongoing...
Principal, Enforcement Central Intake Group Apply Logo locations Rockville, MD (Job Posting) Jersey City, NJ (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) locations Chicago, IL...
requires a minimum of ten years of experience in securities, compliance, or financial regulation, along with a... bachelor’s degree. An MBA, JD, or other relevant graduate degree is preferred. Reporting directly to the head of SRE, the Strategic Advisor...
Senior Director, Risk Monitoring will serve as the single point of accountability for the risk assessment, planning and execution of examinations for firms within a specific Firm Group or Sub-Group. This role is responsible for providing strategic leadership and ensuring...
Significant securities, compliance or financial regulatory experience Salary Information:... based on location and individual qualifications Organization: FINRA (Financial Industry Regulatory Authority) Department:... Member Supervision H1: Lead and Implement the Strategic Direction of Cause Investigations H2: Essential Job Fu...
Intelligence Specialist at FINRA's Financial Intelligence Unit (FIU), you... You will lead projects and analyze data to create intelligence assessments and other products, working collaboratively with stakeholders... to mitigate risk and strengthen controls. We are seeking a highly skilled individua...
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)...
Principal Investigator, Cyber Enabled Fraud Group - All FINRA Locations Full time posted on Posted Today job requisition id R-008413 The Senior Principal Investigator, Cyber Enabled Fraud Group, independently conducts highly complex cyber-enabled...