Jobs: finra
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Associate Principal Examiner
Found in: Talent US C2 - 5 days ago
Woodbridge Township, United States finra Full timeFINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. We have an exciting opportunity for a Associate Principal Examiner: To conduct risk-based...
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Principal Investigator, NCP
Found in: Talent US C2 - 18 hours ago
Jersey City, United States finra Full timeFINRA’s National Cause Program (NCP) is charged with the investigation of cause matters involving potential fraud or other serious misconduct from various sources, including regulatory filings, investor complaints, tips, referrals, and other regulatory sources. The Principal Investigator, NCP, is responsible for (1) conducting extensive background searches...
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Associate Principal Examiner
Found in: Talent US C2 - 6 days ago
Woodbridge Township, United States finra Full timeTo conduct risk-based examinations of FINRA member firms and registered representatives.Essential Job Functions:Leads examinations of low, medium-low, and medium-high risk and complexity with moderate supervisionConducts and memorializes discovery and risk reviews of low to medium-high risk and complexityServes as mentor to junior staffInterviews firm...
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Associate Principal Examiner
Found in: Talent US C2 - 7 days ago
Woodbridge Township, United States finra Full timeTo conduct risk-based examinations of FINRA member firms and registered representatives.Leads examinations of low, medium-low, and medium-high risk and complexity with moderate supervisionConducts and memorializes discovery and risk reviews of low to medium-high risk and complexityServes as mentor to junior staffInterviews firm personnel independentlyGathers...
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Senior Litigation Counsel, Enforcement
Found in: Talent US C2 - 7 days ago
Boca Raton, United States finra Full timeThe Senior Litigation Counsel works under minimal supervision to litigate nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC).Essential Job Functions:Represent FINRA in a first or second chair capacity in complex disciplinary...
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Principal Examiner, Trading Specialist Group
Found in: Talent US C2 - 7 days ago
Dallas, United States finra Full timeTo conduct risk-based examinations of FINRA member firms and registered representativesEssential Job Functions:Execute and advise on Market Access Rule (SEC Rule 15c3-5) reviews on examinations of medium to high risk and/or complex trading firms with moderate supervision.Evaluate firms’ pre-trade financial, erroneous and regulatory risk management controls...
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Senior Principal Investigator, Crypto Asset Investigations Team
Found in: Talent US C2 - 7 days ago
Boston, United States finra Full timeThe Senior Principal Investigator on the Crypto Asset Investigations (CAI) team, utilizing their significant crypto and/or fintech investigative and risk management experience, independently conducts advanced high complexity crypto-related review and special investigations involving FINRA member firms and/or affiliates. This team of Crypto Asset...
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Director, Member Supervision Operations, Procedures, and Standards
Found in: Talent US C2 - 4 days ago
New York, United States finra Full timeProvides strategic leadership and guidance and establishes procedures and standards across the program as well as advising and collaborating with various groups conducting reviews of the program including the SEC, Internal Audit and Quality Assurance for the program. This includes developing controls and metrics to monitor program execution and...
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Principal Analyst
Found in: Talent US C2 - 7 days ago
Los Angeles, United States finra Full timeResponsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties.Conducts risk...
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Project Manager, Corporate Communications
Found in: Talent US C2 - 5 days ago
Kansas City, United States finra Full timeThe Office of Corporate Communications is responsible for planning and implementing proactive communications on major initiatives; working to promote positive, accurate and fair media coverage of FINRA; and promoting an engaged and well-informed workforce, among other activities. The Project Manager supports the leaders and members of the Communications team...
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Principal Analyst, Risk Monitoring
Found in: Talent US C2 - 7 days ago
Los Angeles, United States finra Full timeResponsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director.Essential Job Functions:This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and...
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Principal Integration Specialist
Found in: Talent US C2 - 7 days ago
Reston, United States finra Full timeThe Principal Integration Specialist will be a core contributor to program and project delivery, supporting the team in defining direction for and ensuring exceptional execution of critical strategic initiatives. This role will leverage best practices from across project management, implementation and change management, user design, business strategy, and...
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Principal Analyst, Regulatory Change Management and Compliance
Found in: Talent US C2 - 7 days ago
Chicago, United States finra Full timeThis position is an experienced individual contributor in Member Supervision Operations, Procedures and Standards (MS OPS), who works independently with minimal supervision to identify, assess, develop, implement, and maintain operations, procedures, standards, and reporting. This role will lead regulatory initiatives by partnering with key stakeholders,...
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Principal Analyst, Process and Control Effectiveness – MS Operations, Procedures, and Standards
Found in: Talent US C2 - 7 days ago
San Francisco, United States finra Full timeThis position is an experienced individual contributor in Member Supervision Operations, Procedures and Standards (MS OPS), who works independently with minimal supervision to identify, assess, develop, and maintain the MS regulatory risk and controls program and framework. This role will lead and analyze the program for areas of risk and control...
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Associate Principal Integration Specialist
Found in: Talent US C2 - 10 hours ago
Jericho, United States finra Full timeThe Associate Principal Integration Specialist is a core contributor to program and project delivery, supporting the team in defining direction for and ensuring exceptional execution of critical strategic initiatives. This role will leverage best practices from across project management, implementation and change management, user design, business strategy,...
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Principal Investigator, Ncp
8 hours ago
Philadelphia, United States Finra Full timeEssential Job Functions: - Independently leads investigations of varying risk and complexity - Gathers regulatory intelligence using internal systems and 8210 record requests - Requests and compiles, analyzes, assesses, and evaluates records - Prepares for and participates in On-The-Record interviews - Independently conducts and facilitates interviews of...
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Director, MRTS Regulatory Compliance
Found in: Talent US C2 - 7 days ago
Chicago, United States finra Full timeThe Director, Regulatory Compliance is responsible for managing key regulatory and compliance functions for Market Regulation and Transparency Services (MRTS). These functions include managing responses to SEC inspections and oversights, managing responses to government access requests, ensuring timely completion of audit commitments, and managing the...
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Principal Risk Analyst, HRr
4 days ago
Jericho, United States Finra Full timeThe High Risk Representative Team (HRR) is a specialized unit within FINRA's National Cause and Financial Crimes Program (NCFC). The Principal Analyst in the High Risk RR Unit independently conducts risk monitoring activities and ongoing risk assessments of FINRA High Risk Registered Representatives. The Principal Analyst demonstrates a highly proficient...
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Senior Principal Business Analyst, Transparency Services
Found in: Talent US C2 - 7 days ago
Dallas, United States finra Full timeThe Product Management Business Analyst Senior Specialist works on the development and distribution of technical specifications and related coding guidance for participants. The position is responsible for ensuring that participants comprehend and adhere to the FINRA rules that govern the various Transparency Services interfaces for quoting and trade...
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Program Manager, Ethics
7 days ago
Washington, United States Finra Full timeThrough its administration of the Code of Conduct, the Ethics Office (“Office”) furthers FINRA’s independence and the integrity of its regulatory efforts. This position is responsible for all ethics publications and courses, ensuring that those effectively convey the principles and requirements of the Code of Conduct to all constituents performing work...