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Principal Analyst, Regulatory Change Management and Compliance - MS Operations, Procedures and Standards - Any FINRA Location

Financial Industry Regulatory Authority, Inc.
Boston, MA
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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:
Boston, MA
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

Compliance Analyst

Manulife Financial
Boston, MA
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We are a leading financial services provider committed to making decisions ...
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About the job:
easier and lives better for our customers and colleagues around the world. From our environmental initiatives to our community investments, we lead with values throughout our business. To help us stand out, we help you step up, because when colleagues are healthy, respected and meaningfully challenged, we all thrive. Discover how you can grow your career, make impact and drive real change with our Winning Team today. Working Arrangement Hybrid Job Description The Compliance Analyst works to ensure the team is aligned...
Location:
Boston, MA
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

Principal Investigator, FINOP-NCP

Financial Industry Regulatory Authority, Inc.
Boston, MA
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FINRA’s National Cause Program (NCP) is charged with the investigation of ...
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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:
Boston, MA
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

Investigator

Commonwealth of Massachusetts
Boston, MA
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Investigator - (240004DT) Description PURPOSE OF THE JOB The Cannabis ...
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About the job:
Control Commission Investigator conducts inspections and investigations of licensed marijuana establishments in the Commonwealth to ensure understanding and compliance with laws, rules, and regulations. A significant component of this position includes visiting marijuana establishments across the Commonwealth and completing regulatory compliance inspections/audits targeting operational requirements, and may include specific cultivation product manufacturing and, retail requirements as pertains to the license type, as well...
Location:
Boston, MA
Job Type:
Part-Time
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
High Income Jobs ($80K-$99K)
Certifications / Licenses:
Certified Public Accountant
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Investigator, MRTS-Reporting & Disclosure

Financial Industry Regulatory Authority, Inc.
Boston, MA
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The Principal Investigator conducts comprehensive and timely investigations, ...
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About the job:
including matters of various sizes and levels of complexity, where there is cause to believe violations exist of applicable rules and securities laws, under FINRA or Regulatory Service Agreement (RSA) jurisdiction, related to securities market regulation. The Principal Investigator mentors and coaches more junior staff in the completion of their investigations. Essential Job Functions: - Conducts comprehensive investigations of possible violations of rules and federal securities laws with moderate supervision. -...
Location:
Boston, MA
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 Examiner, Trading Specialist Group (TSG) - All Finra Locations

Financial Industry Regulatory Authority, Inc.
Boston, MA
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To conduct risk-based examinations of FINRA member firms and registered ...
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Summary
About the job:
representatives Essential Job Functions: - Execute and advise on Market Access Rule (SEC Rule 15c3-5) reviews on examinations of medium to high risk and/or complex trading firms with moderate supervision. - Evaluate firms’ pre-trade financial, erroneous and regulatory risk management controls to assess compliance with SEC Rule 15c3-5 in equity, options, fixed income and/or other SEC regulated products traded on an Exchange or Alternative Trading System (ATS). - Demonstrate an understating of a firm’s trading activity,...
Location:
Boston, MA
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

Senior Compliance Analyst

Allspring Global Investments
Boston, MA
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Allspring Global Investments United States, Massachusetts, Boston 101 ...
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About the job:
Seaport Boulevard ( Show on map ) March 27, 2024 Description Elevate Your Career Work where your ideas have impact COMPANY Allspring Global Investments is a leading independent asset management firm that offers a broad range of investment products and solutions designed to help meet clients' goals. At Allspring, our vision is to inspire a new era of investing that pursues both financial returns and positive outcomes. With decades of trusted experience propelling us forward, we strive to build portfolios aimed at generating...
Location:
Boston, MA
Job Type:
Part-Time
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
5
apply
Detailed Job Information

Risk Specialist

Federal Reserve Bank (FRB) $195,600.00 per year
Boston, MA
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Job Description: Company Federal Reserve Bank of Boston As an employee of ...
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Summary
About the job:
the Boston Fed, you will work to promote sound growth and financial stability in New England and the nation. You will contribute to communities, the region, and the nation by conducting economic research, participating in monetary policy-making, supervising certain financial institutions, providing financial services and payments, playing a leadership role in the payments industry, and supporting economic well-being in communities through a variety of efforts. The Boston Fed is one of 12 Reserve Banks and we serve all...
Location:
Boston, MA
Job Type:
Part-Time
Full-Time
Permanent
Temporary
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

AML Functional Specialist with FircoSoft -

ProCorp Systems Inc.
Boston, MA
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Job Details AML Functional Specialist with FircoSoft Location : Boston, MA ...
Details
Summary
About the job:
-Onsite is Must Job Requirement : - 10+ years of experience as Functional Specialist in AML Sanctions Screening and over 3 years of experience in Financial Crime - Experience in end-to-end false-hit mitigation rule writing, rule tuning, testing, and implementation - End-to-end implementations for sanctions screening systems including activities such as Scoping, requirements gathering and testing - Familiarity with Firco Continuity (Transaction) and Firco Trust (Entity) screening or other screening (a.k.a. watch list...
Location:
Boston, MA
Job Type:
Full-Time
Contract
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

Principal Analyst, MRTS Regulatory Compliance

Financial Industry Regulatory Authority, Inc.
Boston, MA
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The Principal Analyst in MRTS Regulatory Compliance is responsible for a ...
Details
Summary
About the job:
wide range of tasks in support of various regulatory compliance functions for Market Regulation and Transparency Services (MRTS), including those related to responding to government access and data requests, coordinating former employee reviews, and administering department-wide policies and procedures. Essential Job Functions: - Prepares responses to access and data requests from federal and state civil and criminal authorities, Self-Regulatory Organizations (SROs), and foreign regulators seeking the production of...
Location:
Boston, MA
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
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Location: Boston
(Radius: Exact location only)
Salary: High Income Jobs ($80K-$99K)
Occupation: Financial Examiners
Industry: Management of Companies and Enterprises
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