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Principal Risk Specialist - IAVV Specialist Team, Member Supervision - All FINRA
Jobs · Finra · Jersey City, NJIndependent Asset Verification and Valuation (“IAVV”) Specialist Team conducts and advises on reviews across FINRA’s Regulatory Programs as it relates to independent verification and valuation of customer and/or firm assets held at member firms. E...14 hours ago on EquestTools -
Principal Analyst, MS Operations, Procedures and Standards - Any Finra Location
Jobs · Finra · Rockville, MDThis position is an experienced individual contributor in Member Supervision Operations, Procedures and Standards (MS OPS), who works independently with minimal supervision to develop, implement, and maintain operations, procedures, standards, and...1 day ago on EquestTools -
Associate Principal Investigator, MRTS Reporting & Disclosure
Jobs · Finra · Rockville, MDThe Associate Principal Investigator conducts comprehensive and timely investigations, including matters of various sizes and levels of complexity, where there is cause to believe violations exist of applicable rules and securities laws, under FIN...2 days ago on EquestTools -
Principal Analyst, Dispute Resolution Services Training
Jobs · Finra · Chicago, ILAre you looking for purpose and meaning in your work? Does the idea of working for a regulator speak to your moral compass? As a not-for-profit entity, FINRA (Financial Industry Regulatory Authority) operates under the oversight of the SEC and sit...2 days ago on EquestTools -
Examinations - T&E Equities and Options - Member Supervision
Jobs · Finra · Boca Raton, FLExciting opportunity to join our Examinations Team focusing on Trading and Execution Firm Groups. Grow your career by leveraging your financial industry or legal experience to conduct risk-based examinations of FINRA Member firms that primarily pr...3 days ago on EquestTools -
Senior Director, Model Risk Oversight - Any Finra Location
Jobs · Finra · New York, NYThe Senior Director responsible for leading the Model Risk Oversight Unit (the “Unit”) within Data & Analytics leads a cross-functional team responsible for supporting Member Supervision in identifying risks posed by member firms’ use of models. T...3 days ago on EquestTools -
Counsel, Enforcement
Social Services · Finra · Rockville, MDThe Enforcement Counsel resolves non-complex Enforcement matters, and contributes meaningful high quality work for large complex matters. * Resolve non-complex Enforcement matters based on rigorous assessment and effective advocacy + Execute an ef...4 days ago on EquestTools -
Associate Principal Risk Specialist - Fixed Income - Any Finra Location
Jobs · Finra · New York, NYExecute functions in support of specialized units missions including, but not limited to, examinations, investigations, consultations, advisory, knowledge sharing, and quality assurance. Essential Job Functions: * Leads examinations of low, medium...4 days ago on EquestTools -
Principal Counsel, Enforcement
Social Services · Finra · Rockville, MDThe Enforcement Principal Counsel performs rigorous assessment and effective advocacy in Enforcement matters. * Determine and execute an effective risk-based legal strategy to assess the record fairly. * Collaborate with investigative staff to pla...4 days ago on EquestTools -
Senior Executive Assistant, Business & Industry Solutions
Admin/Clerical · Finra · Washington, DCThe Senior Executive Assistant, Business & Industry Solutions (BIS), provides comprehensive and confidential administrative support to the Executive Vice President, Chief Financial & Administrative Officer (CFAO) and the Vice President, Strategic ...5 days ago on EquestTools