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high complexity routine and special investigations of member firms;... investigates potentially suspicious activities of persons associated with member firms; and provides guidance to Member Supervision staff on their complex assignments. This position proactively surveilles the industry and identifies fraudulent conduct...
high complexity routine and special investigations of FINRA member... firms at all locations. They will be responsible for identifying and addressing potentially fraudulent activities within the industry, providing guidance to Member Supervision staff, and training others. This is an expert...
Investigative Director, Specialist Team - All FINRA Locations FINRA is seeking an Investigations Director, Specialist Team, to manage examinations and investigations of broker-dealers' compliance with applicable rules and regulations, and financial crimes. This is a senior-level position that...
Investigator, NCP The candidate will perform Intake & Assessment with minimal supervision, and will demonstrate competency in investigative techniques and an understanding of relevant rules, federal securities laws, and markets and trading. Analyze the information received and identify the regulatory...
Investigator, NCP The candidate will perform Intake & Assessment with minimal supervision, and will demonstrate competency in investigative techniques and an understanding of relevant rules, federal securities laws, and markets and trading. Analyze the information received and identify the regulatory...
Analyst, Risk Monitoring, Trading and Execution The candidate will conduct risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Report to a Risk Monitoring Director and supports both that direct manager in identifying existing...
Enforcement The candidate will provide investigative and legal support to the Enforcement Centers. Perform legal research for staff attorneys. Assist with preparing for on-the-record testimony of potential respondents. Assist with preparing for and/or take off-the-record customer interviews. Assist investigators with...
Risk Monitoring - Capital Markets - Any FINRA Location Full Time Bullet Points: - Director role in Risk Monitoring Program for a specific Firm Grouping or Sub-Grouping - Responsible for overseeing risk assessments, regulatory responses, and intelligence...
Enforcement The candidate will provide investigative and legal support to the Enforcement Centers. Perform legal research for staff attorneys. Assist with preparing for on-the-record testimony of potential respondents. Assist with preparing for and/or take off-the-record customer interviews. Assist investigators with...
FINRA Location: Any FINRA Location Job Title: Principal Analyst, Risk Monitoring Experience: Senior-level Salary Range: Minimum $92,500, Maximum $200,200 Time Type: Full-time H1: Principal Analyst, Risk Monitoring - Any FINRA Location H2: Conduct Risk Monitoring Activities and Assessments for...