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Principal Risk Analyst, HRR - Any Finra Location

Financial Industry Regulatory Authority, Inc.
Washington, DC
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The High Risk Representative Team (HRR) is a specialized unit within FINRA's ...
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About the job:
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 level of competence in analyzing regulatory intelligence, completing risk assessments, and making appropriate regulatory response recommendations while collaboratively communicating those recommendations to various internal departments. The...
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:
Certified Fraud Examiner
Certified Financial Examiner
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
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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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

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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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

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 ...
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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

Supervisory Records Examiner / Analyst Supporting the FBI

Forfeiture Support Associates, LLC
Washington, DC
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Published Job Title Supervisory Records Examiner / Analyst Supporting the ...
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About the job:
FBI Worksite: FBI Description: Be a part of the nationwide law enforcement initiative that removes the tools of crime from criminal organizations, depriving wrongdoers of proceeds from their crime and impacting the infrastructure of criminal enterprises. FSA Federal (FSA) is focused on delivering unsurpassed services in support of law enforcement and homeland security. We currently have a vacancy for a Supervisory Records Examiner/Analyst . In this role, you will be supporting the overall mission of the Federal Bureau...
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:
Security clearance
Secret security clearance
Top secret security clearance
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Fraud Investigator III

Goldschmitt and Associates
Washington, DC
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Goldschmitt and Associates United States, D.C., Washington April 11, 2024 ...
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About the job:
Founded in 1998, Goldschmitt and Associates LLC (G&A) has grown from a one-man consulting firm to over 200 employees in 9 states and across 12 Federal Agencies. Specializing in Custom Computer Programming and Systems Design, Management Consulting and Business Support Services, Asset Management and Data Analytics, and Custom Training Development and Delivery, G&A is the #1 federal contractor in the VA/DC-Metro area, #2 provider of Information Technology services in America, and one of the top 50 fastest growing...
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:
N/A
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Records Examiner/Analyst - Dynamic Team

One Federal Solution
Washington, DC
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We are searching for a creative Records Examiner/Analyst to join our ...
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Summary
About the job:
inspiring team at One Federal Solution in Washington, DC. Growing your career as a Full-Time Records Examiner/Analyst is a promising opportunity to develop valuable skills. If you are strong in time management, presentation and have the right attitude for the job, then apply for the position of Records Examiner/Analyst at One Federal Solution today! One Federal Solution has an opening for a Records Examiner/ Analyst to join our Washington, DC team. The Records Examiner/ Analyst will be working closely with the federal...
Location:
Washington, DC
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
High Income Jobs ($80K-$99K)
Certifications / Licenses:
N/A
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Associate Principal Examiner - Any FINRA Location

Financial Industry Regulatory Authority, Inc.
Washington, DC
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To conduct risk-based examinations of FINRA member firms and registered ...
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Summary
About the job:
representatives. - Leads examinations of low, medium-low, and medium-high risk and complexity with moderate supervision - Conducts and memorializes discovery and risk reviews of low to medium-high risk and complexity - Serves as mentor to junior staff - Interviews firm personnel independently - Gathers regulatory intelligence using internal FINRA systems - Analyzes and evaluates firm records (financial statements, purchase and sales blotters, correspondence, etc.) and systems (order management systems, supervisory alert...
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:
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

NBE/BE (Commercial Credit Risk Specialist), NB-0570-VI

Department of the Treasury
Washington, DC
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Help Help Duties As a National Bank Examiner/Bank Examiner (Commercial ...
Details
Summary
About the job:
Credit Risk Specialist), you will: - Provide advice and policy interpretation to field examiners and other OCC staff on commercial credit products, including commercial real estate, asset-based, commercial and industrial, oil and gas, agricultural, leveraged, commercial leases, and other commercial lending products. - Analyze supervisory issues and commercial credit risk data, identifies and evaluates key risks, and recommends and develops new or revised supervisory policy, guidance, and examination procedures for banks...
Location:
Washington, DC
Job Type:
Part-Time
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
Upper Middle Income Jobs ($50K-$79K)
Certifications / Licenses:
Security clearance
Workkeys
Applied Math
4
Graphic Literacy
4
Workplace Documents
5
apply
Detailed Job Information
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Location: Washington
(Radius: Exact location only)
Job Type: Permanent
Occupation: Financial Examiners
Industry: Management of Companies and Enterprises
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