responsible for researching, assessing and reporting data for the investigative due diligence practice and its clients. Job Duties: Collects legal, financial, employment, academic and social... media-oriented information on companies, individuals and other topics from a wide rang...
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 prohibit discrimination against all individuals based on their race, color,...
CA Organization: FINRA (Financial Industry Regulatory Authority) ... Time Type: Full time Posted on: Posted Today Job Requisition ID: R-009188 Essential Job Functions: - Leading attorney teams in timely and...
Asset Management Group reserves the right to amend and change responsibilities to meet business and organizational needs as necessary. Salary Information The salary for this position will be commensurate with experience and qualifications. Job Title Registered...
Advisor, Member Supervision - All FINRA Locations Apply Logo Strategic Advisor, Member Supervision - All FINRA Locations Apply Logo locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job...
Principal Investigator, NCP - IRG - All FINRA Locations Locations: - New York, NY (Job Posting) - Jersey City, NJ (Job Posting) - Jericho, NY (Job Posting) - Denver, CO (Job Posting) - Dallas, TX (Job Posting) - Boston,...
intake and assessment of regulatory intelligence received through various... sources, including internal sources, regulatory tips, customer complaints, and... firm regulatory filings. They will work... to quickly identify and escalate higher-risk matters, demonstrating competency in investigative techniques and a strong understanding...
Principal Investigator, NCP - IRG - All FINRA Locations The Associate Principal Investigator, NCP - IRG, is responsible for reviewing and analyzing regulatory intelligence received through various... sources, and making recommendations for appropriate regulatory responses. This includes conducting... investigations,...
intake and assessment of regulatory intelligence received by FINRA's... Initial Review Group (IRG) in order to identify and escalate higher-risk matters. The individual in this role will have a strong understanding of FINRA rules, federal securities laws, and the securities...
Operations, Procedures and Standards - All FINRA Locations Apply Logo locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) time type...
Operations, Procedures and Standards - All FINRA Locations Apply Logo locations Washington, DC (Job Posting) Jericho, NY (Job Posting) Denver, CO (Job Posting) Dallas, TX (Job Posting) Chicago, IL (Job Posting) time type...
Summary: Organization: FINRA (Financial Industry Regulatory Authority) Position:... Associate Principal Risk Monitoring Analyst Locations: Woodbridge, NJ; Jericho, NY; Denver, CO; Dallas, TX; Chicago, IL; Boston, MA; Boca Raton, FL; Jersey City, NJ; Washington, DC; Chicago (North Wacker Drive); San...
for FINRA Members FINRA, the Financial Industry Regulatory Authority, is... currently seeking a highly skilled and motivated Associate Principal Risk Monitoring Analyst to join our team. In this role, you will be responsible for conducting risk monitoring activities and ongoing risk...
registered trademark of the Financial Industry Regulatory Authority, Inc.... FINRA is an equal opportunity employer and provides equal opportunity to all individuals without regard to race, color, religion, sex, gender identity, sexual orientation, national origin, age, disability, veteran status...
Manager Experience: Significant securities, compliance or financial regulatory experience required, moderate... experience managing projects and/or people preferred Education: Bachelor's Degree or equivalent combination of education and experience required, major in Accounting, Finance, Economics, Business Administration or related fie...
position available at FINRA (Financial Industry Regulatory Authority) -... misconduct in the securities industry - Conducts background searches... and gathers regulatory intelligence - Evaluates records... and conducts interviews of relevant parties - Identifies trends and escalates potential issues to management...
Organization: FINRA Department: Specialist Teams Salary Information: - Minimum Salary: $92,500 - Maximum Salary: $200,200 Job Type: Full Time Experience: Expert level Job Requisition ID: R-008844 About FINRA: FINRA is the Financial...
framework Organization: FINRA (Financial Industry Regulatory Authority) Department:... Member Supervision Operations, Procedures and Standards Job Title: Director, MS Operations, Procedures and Standards Job Type: Full-time Salary: Based on location and individual factors such as experience, education,...
in securities, compliance, or financial regulatory experience Education:... Bachelor's degree in Accounting, Finance, Economics, Business Administration, or related field; MBA, JD, or other relevant graduate degree preferred Organization: FINRA (Financial Industry Regulatory Authority) ... Department: Member Supervi...
Senior Principal Investigator, NCP - IRG - All FINRA Locations FINRA, or Financial Industry Regulatory Authority, is... currently hiring for the position of Senior Principal Investigator at all of its locations across the United States. This is a full-time...
matters impacting the business of the division. This role involves formulating and executing legal strategies and advising the Chief Executive Officer of the Division, the Executive Leadership team, and other senior managers on legal and regulatory issues affecting business affairs......
responsible for researching, assessing and reporting data for the investigative due diligence practice and its clients. Job Duties: Collects legal, financial, employment, academic and social... media-oriented information on companies, individuals and other topics from a wide rang...
Before 03/07/2025, 12:54 AM ESIS ProClaim Senior Specialist - Commercial General Liability Claims Salary: $65,900 - $123,100 (may vary based on skills and location) Experience: 4+ years in claims management and/or as a claim professional Objective: To manage complex commercial general liability...
Senior Claim Director - Commercial Casualty Direct Handle at Chubb H1: Senior Claim Director - Commercial Casualty Direct Handle at Chubb H2: Join Our Team and Make a Difference in the Insurance Industry Are you a... seasone...
Chubb: Claim Director-Commercial Direct Handle in Phoenix, AZ H2: Seeking Experienced Claim Director for Chubb's Commercial Direct Handle Team Job Title: Claim Director-Commercial Direct Handle Location: Phoenix, AZ, United States (with potential for travel) Salary: Competitive, based on experience...
Segment Law, Claims, Compliance, Insurance, Legal Summary: - Senior Claim Director-PRS Casualty role in Whitehouse Station, NJ and nationwide. - Responsible for technical claim handling for Chubb's Personal Lines insureds. - Manage complex general liability and auto liability...
issues. - Conduct, coordinate, and direct investigation into loss facts, damages, and risk transfer opportunities. - Evaluate coverage, liability, and damages to determine the exposure to the insured and the policy. - Analyze coverage and communicate coverage positions, as warranted, within assigned authority. -...
guidance to clients on matters related to registered investment companies, including mutual funds, ETFs, closed-end funds, interval funds, tender offer funds, and business development companies. They will also advise investment advisers on business and regulatory matters, collaborating closely with... clients,...