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Project Manager, Litigation Support, Enforcement

Financial Industry Regulatory Authority, Inc.
Los Angeles, CA
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The Project Manager, Litigation Support will provide investigation, ...
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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:
Los Angeles, CA
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

Administrative Specialist, MRTS Business Operations

Financial Industry Regulatory Authority, Inc.
Los Angeles, CA
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The Administrative Specialist performs a wide range of functional and ...
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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:
Los Angeles, CA
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

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

Financial Industry Regulatory Authority, Inc.
Los Angeles, CA
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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:
Los Angeles, CA
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
High Income Jobs ($80K-$99K)
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.
Los Angeles, CA
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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:
Los Angeles, CA
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
High Income Jobs ($80K-$99K)
Certifications / Licenses:
Financial Industry Regulatory Authority
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Principal Integration Specialist - Any FINRA Location

Financial Industry Regulatory Authority, Inc.
Los Angeles, CA
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The Principal Integration Specialist will be a core contributor to program ...
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Summary
About the job:
and project delivery, supporting the team in defining direction for and ensuring exceptional execution of critical strategic initiatives. This role will leverage best practices from across project management, implementation and change management, user design, business strategy, and service design to drive consensus and ensure high-profile initiatives deliver on their intended value, including objectives and key results. Under general direction from the Senior Director and with support from other team members, this...
Location:
Los Angeles, CA
Job Type:
Full-Time
Permanent
Occupation:
Management Analysts
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

Associate Principal Investigator, Enforcement

Financial Industry Regulatory Authority, Inc.
Los Angeles, CA
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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:
Los Angeles, CA
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

Associate Principal Examiner - Any FINRA Location

Financial Industry Regulatory Authority, Inc.
Los Angeles, CA
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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:
Los Angeles, CA
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

Principal Data Analyst

Financial Industry Regulatory Authority, Inc.
Los Angeles, CA
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The Principal Data Analyst performs accurate data analysis in non-complex ...
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Summary
About the job:
Enforcement matters in accordance with well-established methodology. The Principal Data Analyst is responsible for the strategic design and implementation of non-complex analytical and/or advanced data abstraction models for various securities products, fact patterns, new rules, high risk activities as well as performing ad hoc market analysis in support of the Enforcement Department. This role will be responsible for working with large volumes of data to identify securities law and rule violations, as well as detecting...
Location:
Los Angeles, CA
Job Type:
Full-Time
Permanent
Occupation:
Statisticians
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

Senior Litigation Counsel, Enforcement - Any FINRA Location

Financial Industry Regulatory Authority, Inc.
Los Angeles, CA
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The Senior Litigation Counsel works under minimal supervision to litigate ...
Details
Summary
About the job:
nationwide non-disciplinary and disciplinary proceedings filed with the Office of Hearing Officers (OHO) and to brief and argue appeals before the National Adjudicatory Council (NAC). Essential Job Functions: - Represent FINRA in a first or second chair capacity in complex disciplinary proceedings involving violations of the federal securities laws, FINRA and NASD Rules, Municipal Securities Rulemaking Board (MSRB) rules, and other self-regulatory organization (SRO) rules. - Represent FINRA in a first chair capacity in...
Location:
Los Angeles, CA
Job Type:
Full-Time
Permanent
Occupation:
Lawyers
Career Level / Education:
Doctoral or professional degree
Salary:
Six Figure Jobs (more than $100K)
Certifications / Licenses:
N/A
Workkeys
Applied Math
5
Graphic Literacy
5
Workplace Documents
7
apply
Detailed Job Information

Associate Principal Analyst, MRTS-CAT Reporting

Financial Industry Regulatory Authority, Inc.
Los Angeles, CA
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This Associate Principal Analyst position within the Surveillance and Market ...
Details
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:
Los Angeles, CA
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
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