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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

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

Associate Principal Investigator, Enforcement

Financial Industry Regulatory Authority, Inc.
Washington, DC
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FINRA’s Department of Enforcement (Enforcement) is tasked with investigating ...
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Summary
About the job:
potential FINRA Rules and securities law violations and, when warranted, bringing formal disciplinary actions against firms and their associated persons. The Associate Principal Investigator performs investigative functions for non-complex securities cases in order to develop complete and factual investigative records and make meaningful contributions to more complex securities matters. Essential Job Functions: Develop a complete and accurate factual record with input from managers. - Determine and execute an...
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

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

Associate Principal Analyst, MRTS-CAT Reporting

Financial Industry Regulatory Authority, Inc.
Washington, DC
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This Associate Principal Analyst position within the Surveillance and Market ...
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Summary
About the job:
Intelligence section of Market Regulation is responsible for conducting routine surveillance reviews of moderate to high complexity 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 more complex assignments under the direction of more senior staff. Essential Job Functions: - Analyzes trading activity in area of primary responsibility for indications of potential violations. - Researches and provides internal...
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:
Certified Accounting Technician
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Senior Investigator

Consumer Financial Protection Bureau
Washington, DC
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Job Description: Summary This position is located at Consumer Financial ...
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Summary
About the job:
Protection Bureau, ENFORCEMENT. The incumbent will develop and present information required to support civil and administrative enforcement actions brought by the Bureau. Responsibilities As a Senior Investigator, you will: - Lead and conduct very complex investigatory initiatives, including forensic analysis, for highly complex and significant investigations related to suspected violations of federal consumer financial protections laws and regulations for which there may be few, if any, established criteria across a...
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

Principal Investigator, FINOP-NCP

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

Senior Analyst, MRTS-Insider Trading Detection, Options

Financial Industry Regulatory Authority, Inc.
Washington, DC
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This Senior Analyst position within the Surveillance and Market Intelligence ...
Details
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
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Occupation: Financial Examiners
Industry: Management of Companies and Enterprises
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