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Associate Principal Investigator, Enforcement

Financial Industry Regulatory Authority, Inc.
Located in Ohio
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FINRA is dedicated to protecting investors and ensuring the integrity of ...
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Summary
About the job:
America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. We have an exciting opportunity for a Associate Principal Investigator, Enforcement: FINRA’s Department of Enforcement (Enforcement) is tasked with investigating potential FINRA Rules and securities law violations and, when warranted, bringing formal disciplinary actions against firms and their associated persons. The Associate...
Location:
Located in Ohio
Job Type:
Full-Time
Permanent
Occupation:
Lawyers
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

Director, Member Supervision Operations, Procedures, and Standards (All FINRA Locations)

Financial Industry Regulatory Authority, Inc.
Boca Raton, FL
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Provides strategic leadership and guidance and establishes procedures and ...
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Summary
About the job:
standards across the program as well as advising and collaborating with various groups conducting reviews of the program including the SEC, Internal Audit and Quality Assurance for the program. This includes developing controls and metrics to monitor program execution and effectiveness. Essential Job Functions: - Provide a robust operational risk framework within First and Second Lines of Defense. - Spearheading operational risk event/incident remediations and escalations, key procedural control assessments,...
Location:
Boca Raton, FL
Job Type:
Full-Time
Permanent
Occupation:
Accountants and Auditors
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

Director, Member Supervision Operations, Procedures, and Standards (All FINRA Locations)

Financial Industry Regulatory Authority, Inc.
San Francisco, CA
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Provides strategic leadership and guidance and establishes procedures and ...
Details
Summary
About the job:
standards across the program as well as advising and collaborating with various groups conducting reviews of the program including the SEC, Internal Audit and Quality Assurance for the program. This includes developing controls and metrics to monitor program execution and effectiveness. Essential Job Functions: - Provide a robust operational risk framework within First and Second Lines of Defense. - Spearheading operational risk event/incident remediations and escalations, key procedural control assessments,...
Location:
San Francisco, CA
Job Type:
Full-Time
Permanent
Occupation:
Accountants and Auditors
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

Director, Member Supervision Operations, Procedures, and Standards (All FINRA Locations)

Financial Industry Regulatory Authority, Inc.
Rockville, MD
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Provides strategic leadership and guidance and establishes procedures and ...
Details
Summary
About the job:
standards across the program as well as advising and collaborating with various groups conducting reviews of the program including the SEC, Internal Audit and Quality Assurance for the program. This includes developing controls and metrics to monitor program execution and effectiveness. Essential Job Functions: - Provide a robust operational risk framework within First and Second Lines of Defense. - Spearheading operational risk event/incident remediations and escalations, key procedural control assessments,...
Location:
Rockville, MD
Job Type:
Full-Time
Permanent
Occupation:
Accountants and Auditors
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

Director, Member Supervision Operations, Procedures, and Standards (All FINRA Locations)

Financial Industry Regulatory Authority, Inc.
Denver, CO
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Provides strategic leadership and guidance and establishes procedures and ...
Details
Summary
About the job:
standards across the program as well as advising and collaborating with various groups conducting reviews of the program including the SEC, Internal Audit and Quality Assurance for the program. This includes developing controls and metrics to monitor program execution and effectiveness. Essential Job Functions: - Provide a robust operational risk framework within First and Second Lines of Defense. - Spearheading operational risk event/incident remediations and escalations, key procedural control assessments,...
Location:
Denver, CO
Job Type:
Full-Time
Permanent
Occupation:
Accountants and Auditors
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

Director, Member Supervision Operations, Procedures, and Standards (All FINRA Locations)

Financial Industry Regulatory Authority, Inc.
Jericho, NY
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Provides strategic leadership and guidance and establishes procedures and ...
Details
Summary
About the job:
standards across the program as well as advising and collaborating with various groups conducting reviews of the program including the SEC, Internal Audit and Quality Assurance for the program. This includes developing controls and metrics to monitor program execution and effectiveness. Essential Job Functions: - Provide a robust operational risk framework within First and Second Lines of Defense. - Spearheading operational risk event/incident remediations and escalations, key procedural control assessments,...
Location:
Jericho, NY
Job Type:
Full-Time
Permanent
Occupation:
Accountants and Auditors
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

Director, Member Supervision Operations, Procedures, and Standards (All FINRA Locations)

Financial Industry Regulatory Authority, Inc.
Woodbridge, NJ
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Provides strategic leadership and guidance and establishes procedures and ...
Details
Summary
About the job:
standards across the program as well as advising and collaborating with various groups conducting reviews of the program including the SEC, Internal Audit and Quality Assurance for the program. This includes developing controls and metrics to monitor program execution and effectiveness. Essential Job Functions: - Provide a robust operational risk framework within First and Second Lines of Defense. - Spearheading operational risk event/incident remediations and escalations, key procedural control assessments,...
Location:
Woodbridge, NJ
Job Type:
Full-Time
Permanent
Occupation:
Accountants and Auditors
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

Associate Principal Integration Specialist - Any Finra Location

Financial Industry Regulatory Authority, Inc.
Los Angeles, CA
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The Associate Principal Integration Specialist is a core contributor to ...
Details
Summary
About the job:
program 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 help ensure high-profile initiatives deliver on their intended value, including objectives and key results. Under general direction from their manager and with leadership and guidance from other...
Location:
Los Angeles, CA
Job Type:
Full-Time
Permanent
Occupation:
Management Analysts
Career Level / Education:
High school diploma or equivalent
Salary:
High Income Jobs ($80K-$99K)
Certifications / Licenses:
Financial Industry Regulatory Authority
Workkeys
Applied Math
N/A
Graphic Literacy
N/A
Workplace Documents
N/A
apply
Detailed Job Information

Director, Member Supervision Operations, Procedures, and Standards (All FINRA Locations)

Financial Industry Regulatory Authority, Inc.
Dallas, TX
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Provides strategic leadership and guidance and establishes procedures and ...
Details
Summary
About the job:
standards across the program as well as advising and collaborating with various groups conducting reviews of the program including the SEC, Internal Audit and Quality Assurance for the program. This includes developing controls and metrics to monitor program execution and effectiveness. Essential Job Functions: - Provide a robust operational risk framework within First and Second Lines of Defense. - Spearheading operational risk event/incident remediations and escalations, key procedural control assessments,...
Location:
Dallas, TX
Job Type:
Full-Time
Permanent
Occupation:
Accountants and Auditors
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

Director, Member Supervision Operations, Procedures, and Standards (All FINRA Locations)

Financial Industry Regulatory Authority, Inc.
Jersey City, NJ
Actions
Apply
Save to My Profile
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Report this job
Provides strategic leadership and guidance and establishes procedures and ...
Details
Summary
About the job:
standards across the program as well as advising and collaborating with various groups conducting reviews of the program including the SEC, Internal Audit and Quality Assurance for the program. This includes developing controls and metrics to monitor program execution and effectiveness. Essential Job Functions: - Provide a robust operational risk framework within First and Second Lines of Defense. - Spearheading operational risk event/incident remediations and escalations, key procedural control assessments,...
Location:
Jersey City, NJ
Job Type:
Full-Time
Permanent
Occupation:
Accountants and Auditors
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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