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implementation of the annual compliance work plan Reviews... and updates compliance policies and procedures as... needed Performs compliance investigations, including interviewing employees... analyzing data Conducts compliance audits and risk assessments... Develops and delivers compliance training and education programs... compliance...
Job Title: Principal Analyst, Regulatory Services Management H1:... a Principal Analyst in Regulatory Services Management H2:... Help Ensure Regulatory Compliance and Oversight in... Organization: FINRA (Financial Industry Regulatory Authority) Department: Market... Regulation and Transparency Services (MRTS)...
H1: Director, Regulatory Services Management - Full... Overview: The Director, Regulatory Services Management (RSM) is... reporting functions for RSM, including acting as a centralized resource for Regulatory Operations (RegOps) on Cross... Market Regulatory Working Group (CMRWG) matters... and Inter...
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abides by the requirements of 41 CFR ), ) and ). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities, and require affirmative action by covered prime contractors and subcontractors to...
FINRA FINRA is an independent, non-governmental regulator for all securities firms doing business with the public in the United States. FINRA works to protect investors and maintain market integrity in a public-private partnership with the Securities and Exchange Commission...
Analyst, Public Offerings - Responsible for analyzing complex and high-profile public offering transactions. Intermediate-level professional work with limited supervision. Salary Information: - California: Minimum of $78,900, Maximum Salary $146,900 - Washington, DC: Minimum Salary $78,900, Maximum Salary $140,800 -...
Information: Salary for this position ranges from $156,900 to $202,950 per year, depending on location. Please note that salary ranges may vary for different labor markets outside of Northern California. Job Title: Counsel II, Health Plan & Care...
of the Financial Industry Regulatory Authority, Inc. H1: Senior Paralegal,... in the Financial Industry Organization: FINRA (Financial Industry Regulatory Authority) Department: Office of Oversight... Liaison and Counsel (OLC) Job Title: Senior Paralegal, Oversight Liaison and Counsel Essential Job Functions: - Provide paralegal support to OLC at...
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)...