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Member Supervision Operations, Procedures, and Standards The candidate will provide strategic leadership and guidance and establish procedures and standards across the program as well as advise and collaborate with various groups conducting reviews of the program including the SEC, Internal...
Principal Counsel, Enforcement - FINRA Careers H2: Join Our Team as a Principal Counsel, Enforcement FINRA, the Financial Industry Regulatory Authority, is seeking a highly skilled and experienced Principal Counsel to join our Enforcement team. This is a full-time position with...
Oversee Risk Assessments for a Portfolio of Firms Organization: FINRA Department: Risk Monitoring Full-Time Position Job Requisition ID: R-008111 Location: Any FINRA Location Salary Information: - California: Minimum... Salary $146,200, Maximum Salary $296,...
Principal Analyst, Risk Monitoring - Any FINRA Location H2: Essential Job Functions - Conduct risk monitoring activities and ongoing risk assessments for FINRA members - Report to a Risk Monitoring Director and support in identifying existing and emerging risks -...
FINRA Department: Risk Monitoring Job Title: Principal Analyst, Risk Monitoring Experience: - Minimum of 5 years of experience in risk monitoring, financial analysis, or related field. - Experience in the financial industry, with a strong understanding...