Finra Attorney Jobs

Principal Analyst, Risk Monitoring The candidate will conduct risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Will support both that direct manager in identifying ..

Director, Member Supervision Project Management Duties: Serve as lead for an assigned program and provide a holistic view of all projects and operational changes to ensure proper service/deliverables are provided. Manage ..

Principal Analyst - Risk Monitoring - Retail - FinTech and Retail with Carrying and Clearing The candidate will conduct risk monitoring activities and ongoing risk assessments of members reporting to a ..

Director, Compliance Program Office The candidate will be responsible for developing and maintaining comprehensive rules to controls identification and assessment framework (controls framework) for Member Supervision in coordination with the Office ..

Branch Examiner The candidate will review and research branch office activities to identify red flag issues and determine compliance with firm and regulatory rules and procedures. Will communicate with branch managers ..

Principal Analyst, Risk Monitoring The candidate conducts risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. Reports to a Risk Monitoring Director and supports both ..