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Friendly Job Title: Director, Risk Monitoring - Capital Markets H1 Heading: Join FINRA as a Director of Risk Monitoring in Capital Markets H2 Heading: Lead a Team of Risk Monitoring Analysts and Oversee Risk Assessments for a Portfolio...
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 Investigator, NCP - Any Finra Location - Full-time position with FINRA’s National Cause Program (NCP) - Responsible for conducting investigations of potential fraud and misconduct - Conducts extensive background searches of FINRA member firms and registered representatives -...
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...
Investigator, NCP - Investigating Fraud and Misconduct at FINRA" #H1: Principal Investigator, NCP - Investigating Fraud and Misconduct at FINRA #H2: Join Our Team as a Principal Investigator at FINRA for Investigating Fraud and Misconduct Organization: FINRA (Financial...
FINRA Department: Market Regulation and Transparency Services Job Title: Principal Analyst, Regulatory Services Management Experience: Minimum of 8 years Salary Range: $92,500 - $200,200 (varies by location) Job Type: Full Time H1: Principal Analyst, Regulatory Services Management - **MEMBERS ONLY**SIGN UP NOW***...
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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...
Regulatory Services Management - Full Time The Director of Regulatory Services Management (RSM) is responsible for managing key operations and reporting functions for RSM, including acting as a centralized resource for Regulatory Operations (RegOps) concerning Cross Market Regulatory Working...