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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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Summary
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 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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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

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

Department of the Treasury
Washington, DC
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Summary As a National Bank Examiner/Bank Examiner (Commercial Credit Risk ...
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Summary
About the job:
Specialist), you will be responsible for planning and organizing commercial credit policy initiatives. You will also serve as an advisor to bank examiners and others in the OCC on the assigned Commercial Credit specialties. This position is located in Bank Supervision Policy, Credit Risk, Commercial Credit Risk. Although Washington, DC is the preferred location, Alternate Location Arrangement will be considered. Learn more about this agency Help Help Duties As a National Bank Examiner/Bank Examiner (Commercial Credit...
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

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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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

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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Summary
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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Summary
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

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 ...
Details
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
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Location: Washington
(Radius: Exact location only)
Job Type: Full-time
Occupation: Financial Examiners
Industry: Management of Companies and Enterprises
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