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Principal Investigator, NCP - Any FINRA Location

Financial Industry Regulatory Authority, Inc.
Washington, DC
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FINRA’s National Cause Program (NCP) is charged with the investigation of ...
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About the job:
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 of FINRA member firms and registered representatives in support of open FINRA investigations in the NCP; (2) providing subject matter expertise throughout the course of Cause investigations, in proactively identifying risk using various...
Location:
Washington, DC
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Investigator, Financial Crimes - USDS

TikTok
Washington, DC
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Responsibilities About TikTok U.S. Data Security TikTok is the leading ...
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About the job:
destination for short-form mobile video. Our mission is to inspire creativity and bring joy. U.S. Data Security (“USDS”) is a subsidiary of TikTok in the U.S. This new, security-first division was created to bring heightened focus and governance to our data protection policies and content assurance protocols to keep U.S. users safe. Our focus is on providing oversight and protection of the TikTok platform and U.S. user data, so millions of Americans can continue turning to TikTok to learn something new, earn a living,...
Location:
Washington, DC
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Upper Middle Income Jobs ($50K-$79K)
Certifications / Licenses:
N/A
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Principal Communications Compliance Analyst, Advertising Regulation

Financial Industry Regulatory Authority, Inc.
Washington, DC
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remote type Remote Are you looking for purpose and meaning in your work? ...
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About the job:
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 sits at the nexus of broker-dealers, policymakers and investors. Our mission is investor protection and market integrity. If this sounds intriguing, keep reading... We're hiring a Principal Analyst in our Advertising Regulation group. Independently conducts complex analyses of FINRA firms’ communications with the public both...
Location:
Washington, DC
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
High school diploma or equivalent
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
Financial Industry Regulatory Authority
Workkeys
Applied Math
N/A
Graphic Literacy
N/A
Workplace Documents
N/A
apply
Detailed Job Information

Principal Investigator, Specialist Team - Any Finra Location

Financial Industry Regulatory Authority, Inc.
Washington, DC
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The Principal Investigator, Specialist Teams, conducts high complexity ...
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Summary
About the job:
routine and special investigations of FINRA member firms; investigates potentially suspicious activities of persons associated with FINRA member firms; and provides guidance to Member Supervision staff on their complex assignments. This position proactively surveilles the industry and identifies fraudulent conduct occurring at, by, or through FINRA member firms or registered representatives. This is an expert level, professional position that requires an expanded skillset, limited guidance and minimal supervision, and...
Location:
Washington, DC
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Principal Analyst, Advertising Regulation

Financial Industry Regulatory Authority, Inc.
Washington, DC
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remote type Remote Independently conducts complex analyses of FINRA firms’ ...
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Summary
About the job:
communications with the public both independently of, and in conjunction with, other FINRA departments and other regulators. Provides assistance and support to Associate Director, Director, and Senior Director in the areas of quality control, training and supervision. Essential Job Functions: - Conducts routine and complex assessments and analyses, including spot-checks, of FINRA firms’ communications. - Participates in and coordinates joint evaluations of communications with other FINRA departments and other...
Location:
Washington, DC
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
High school diploma or equivalent
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
Financial Industry Regulatory Authority
Workkeys
Applied Math
N/A
Graphic Literacy
N/A
Workplace Documents
N/A
apply
Detailed Job Information

Senior Analyst, Surveillance and Market Intelligence

Financial Industry Regulatory Authority, Inc.
Washington, DC
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This Senior Analyst position within the Surveillance and Market Intelligence ...
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Summary
About the job:
section of Market Regulation is responsible for conducting routine surveillance reviews to identify unusual market activity for evidence of violations of applicable federal securities, FINRA and/or RSA client rules and regulations and may work on special projects under the direction of more senior staff. Essential Job Functions: - Assists with analyzing trading activity in area of primary responsibility for indications of potential violations. - Drafts summaries of internal updates regarding rules, regulations,...
Location:
Washington, DC
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Examinations- Variable Annuities-Member Supervision - Any Finra Location

Financial Industry Regulatory Authority, Inc.
Washington, DC
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Mission-driven, Mission-delivered. FINRA aims to make an impact. Apply now ...
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Summary
About the job:
for an exciting opportunity to join our Firm Examinations Team, focusing on Financial and Operational risks. Grow your career by leveraging your financial industry or legal experience to conduct risk-based examinations of FINRA Member firms. Our Examinations Program is a critical component of FINRA’s regulatory operations and one of the primary means by which we oversee the activities of our member firms. We take a risk-based approach to our oversight, with the goal of detecting, deterring, or addressing activities...
Location:
Washington, DC
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Senior Policy and Risk Analyst, CG-0301-14/15

Other Agencies and Independent Organizations
Washington, DC
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Help Help Duties At the full performance level, major duties include: - ...
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Summary
About the job:
Serves as project leader in the development of agency and/or interagency policy, procedures, regulations and supervisory guidance pertaining to climate related financial risks and emerging, complex and novel risks. - Monitors the development of rules, regulations, and supervisory guidance affecting the capital markets, banking sector, risk profile, and other related emerging, complex, and novel risks affecting large financial institutions and community banks, to ensure the timely identification of risks posed by these...
Location:
Washington, DC
Job Type:
Part-Time
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
High school diploma or equivalent
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
N/A
Workkeys
Applied Math
N/A
Graphic Literacy
N/A
Workplace Documents
N/A
apply
Detailed Job Information

Principal Analyst, Process and Control Effectiveness – MS Operations, Procedures, and Standards - Any FINRA Location

Financial Industry Regulatory Authority, Inc.
Washington, DC
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This position is an experienced individual contributor in Member Supervision ...
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Summary
About the job:
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 enhancement, resolve complex operational issues through process mapping, and support/lead regulatory initiatives by partnering with key stakeholders. Essential Job Functions: - Independently identifies, assesses, documents, and maintains risks and...
Location:
Washington, DC
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
Financial Industry Regulatory Authority
Workkeys
Applied Math
7
Graphic Literacy
6
Workplace Documents
7
apply
Detailed Job Information

Principal Analyst, Regulatory Change Management and Compliance - MS Operations, Procedures and Standards - Any FINRA Location

Financial Industry Regulatory Authority, Inc.
Washington, DC
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This position is an experienced individual contributor in Member Supervision ...
Details
Summary
About the job:
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, evaluate the program for areas of need/improvement, and resolve complex operational issues. The primary focus of this role is to perform regulatory impact assessments and facilitate change management for new and/or updated regulations....
Location:
Washington, DC
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information
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