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Associate Principal Analyst, Risk Management, Market Operations
Management & Exec · Finra · Rockville, MDThe Associate Principal Analyst in Market Operations Risk Management performs a variety of specific duties including reviewing and analyzing a sampling of daily work performed by analysts within Transparency Service to ensure critical activities a...22 hours ago on EquestTools -
Senior Analyst, Market Regulation - Coordinated Trading
Jobs · Finra · Rockville, MDThis Senior Analyst position within the Surveillance and Market Intelligence section of Market Regulation is responsible for conducting routine surveillance reviews to identify unusual market activity for evidence of violations of applicable feder...4 days ago on EquestTools -
Senior Analyst, Market Regulation-CAT Reporting
Jobs · Finra · Rockville, MDThis Senior Analyst position within the Surveillance and Market Intelligence section of Market Regulation is responsible for conducting routine surveillance reviews to identify unusual market activity for evidence of violations of applicable feder...5 days ago on EquestTools -
Associate Principal Investigator, Market Regulation - Market Investigations
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...6 days ago on EquestTools -
Assistant General Counsel, Regulatory
Legal · Finra · Washington, DCAre 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...1 week ago on EquestTools -
Associate Principal Risk Specialist - IAVV Specialist Team
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...2 weeks ago on EquestTools -
Associate General Counsel, Capital Markets
Legal · Finra · Washington, DCThis position is responsible for directing and managing the complete life cycle of the adoption of new regulatory requirements. The incumbent provides expert knowledge to the Board of Governors and senior management, advising them on high-impact, ...Over 4 weeks ago on EquestTools