Live Chat
Contact
ODJFS Logo in OMJ Seeker Header
12345Previous page
Results based on filters ( 45 jobs found )

Application Manager, MAP - Any Finra Location

Financial Industry Regulatory Authority, Inc.
Denver, CO
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
The Application Manager supervises the membership application process ...
Details
Summary
About the job:
relating to matters filed with FINRA, which includes new and continuing membership applications, materiality consultations, two principal waivers, and membership agreement updates. This is a senior-level professional position supervising examiners and support staff of all levels, defining their assigned roles, increasing their skills, and providing the staff with general guidance. Essential Job Functions: - Actively supervises application staff in the execution of the Department’s risk-based application program of member...
Location:
Denver, CO
Job Type:
Full-Time
Permanent
Occupation:
Compliance Managers
Career Level / Education:
High school diploma or equivalent
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
Financial Industry Regulatory Authority
Workkeys
Applied Math
4
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Principal Communications Compliance Analyst, Advertising Regulation

Financial Industry Regulatory Authority, Inc.
Denver, CO
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
remote type Remote Are you looking for purpose and meaning in your work? ...
Details
Summary
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:
Denver, CO
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 Risk Analyst, HRR - Any Finra Location

Financial Industry Regulatory Authority, Inc.
Denver, CO
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
The High Risk Representative Team (HRR) is a specialized unit within FINRA's ...
Details
Summary
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:
Denver, CO
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.
Denver, CO
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
The Principal Investigator, Specialist Teams, conducts high complexity ...
Details
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:
Denver, CO
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.
Denver, CO
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
remote type Remote Independently conducts complex analyses of FINRA firms’ ...
Details
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:
Denver, CO
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.
Denver, CO
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
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:
Denver, CO
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.
Denver, CO
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
Mission-driven, Mission-delivered. FINRA aims to make an impact. Apply now ...
Details
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:
Denver, CO
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

Administrative Specialist, MRTS Business Operations

Financial Industry Regulatory Authority, Inc.
Denver, CO
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
The Administrative Specialist performs a wide range of functional and ...
Details
Summary
About the job:
administrative support to the department. This is professional-level work where the incumbent works under direct supervision and guidance. Essential Job Functions: - Drafts and edits routine correspondence, reports, and forms, such as external referrals, and handles incoming and outgoing correspondence. - Assists with gathering documents in response to internal audit requests and SEC oversight and inspection requests. - Creates, runs, or maintains various status or statistical reports or summaries relating to the functional...
Location:
Denver, CO
Job Type:
Full-Time
Permanent
Occupation:
First-Line Supervisors of Office and Administrative Support Workers
Career Level / Education:
High school diploma or equivalent
Salary:
Upper Middle Income Jobs ($50K-$79K)
Certifications / Licenses:
Financial Industry Regulatory Authority
Workkeys
Applied Math
N/A
Graphic Literacy
N/A
Workplace Documents
N/A
apply
Detailed Job Information

Project Manager, Litigation Support, Enforcement

Financial Industry Regulatory Authority, Inc.
Denver, CO
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
The Project Manager, Litigation Support will provide investigation, ...
Details
Summary
About the job:
technical, and e-discovery support for Enforcement reviews and investigations, and specialized litigation support to Enforcement litigation staff. This role is part of Enforcement Investigations’ Forensic Investigations and Litigation Support Team (“FILS”). Essential Job Functions: - The Project Manager, Litigation Support will provide technical and e-discovery support for Enforcement investigations and litigations, and will serve as a technical resource for special technology projects involving litigation support and...
Location:
Denver, CO
Job Type:
Full-Time
Permanent
Occupation:
Lawyers
Career Level / Education:
High school diploma or equivalent
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
N/A
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.
Denver, CO
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
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:
Denver, CO
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
12345Previous page

Current Filters

Refine

Industry
Location
Salary
Career/Education Level
Certificates
Occupation
Job Type
Other Opportunities
Display Results

Clear All Filters
This user has no active resume. Please click here to manage resumes.
My OhioMeansJobs Notice
You have reached the maximum number of Saved Searches / Matches. You must remove an existing record before you can save a new one. Access your saved items here.
Confirm your search criteria, then select the frequency of your search and give it a name.
Location: Denver
(Radius: Exact location only)
Company Name: Financial Industry Regulatory Authority, Inc
How often do you want to receive emails?
All fields are required
This field is required
Save
Search Jobs
Advanced close
Select up to 10 occupations
Add Occupations
...
  • x
x close
Loading Map, please wait...
Position is accurate to the ZIP Code or city location only.
Loading Map, please wait...