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Examiner, T&E
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To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low...
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From Financial Industry Regulatory Authority, Inc.
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Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
Boston, MA
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About the job:
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low risk and complexity. - Completes key trainings. - Participates in meetings with firms. - 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 systems, etc.). - Ensure...
Location:
Boston, MA
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
High Income Jobs ($80K-$99K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

Recommended

WorkKeys®

Associate Principal Analyst, Risk Monitoring
Quick view
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and...
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From Financial Industry Regulatory Authority, Inc.
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Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
Located in Ohio
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About the job:
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. - Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. - Collaborates with internal departments to analyze,...
Location:
Located in Ohio
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
Upper Middle Income Jobs ($50K-$79K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

Recommended

WorkKeys®

Examiner, T&E
Quick view
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low...
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From Financial Industry Regulatory Authority, Inc.
Report this job
Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
Boca Raton, FL
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About the job:
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low risk and complexity. - Completes key trainings. - Participates in meetings with firms. - 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 systems, etc.). - Ensure...
Location:
Boca Raton, FL
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
High Income Jobs ($80K-$99K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

Recommended

WorkKeys®

Examiner, T&E
Quick view
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low...
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From Financial Industry Regulatory Authority, Inc.
Report this job
Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
New York, NY
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About the job:
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low risk and complexity. - Completes key trainings. - Participates in meetings with firms. - 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 systems, etc.). - Ensure...
Location:
New York, NY
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
High Income Jobs ($80K-$99K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

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WorkKeys®

Senior Security Engineer
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The Application Security Risk Manager (ASRM) is responsible for managing the organization’s information security risks, ensuring that security risks affecting the organization are known, evaluated for significance, appropriately communicated, and...
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From Financial Industry Regulatory Authority, Inc.
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Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
Rockville, MD
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About the job:
The Application Security Risk Manager (ASRM) is responsible for managing the organization’s information security risks, ensuring that security risks affecting the organization are known, evaluated for significance, appropriately communicated, and effectively addressed through the application of appropriate security controls and processes. The ASRM manages the security risk register and champions the timely resolution of security risks. Essential Job Functions: - Drive the comprehensive and successful execution of the organization’s infosec risk management program in an efficient and effective...
Location:
Rockville, MD
Job Type:
Full-Time
Permanent
Occupation:
Information Security Analysts
Salary:
High Income Jobs ($80K-$99K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Governance, Risk, and Compliance systems
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
6
Workplace Documents
6

Display

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WorkKeys®

Examiner, T&E
Quick view
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low...
Add to Your Backpack | See all jobs from this company
From Financial Industry Regulatory Authority, Inc.
Report this job
Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
Philadelphia, PA
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About the job:
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low risk and complexity. - Completes key trainings. - Participates in meetings with firms. - 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 systems, etc.). - Ensure...
Location:
Philadelphia, PA
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
High Income Jobs ($80K-$99K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

Recommended

WorkKeys®

Associate Principal Analyst, Risk Monitoring
Quick view
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and...
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From Financial Industry Regulatory Authority, Inc.
Report this job
Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
New Orleans, LA
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About the job:
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. - Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. - Collaborates with internal departments to analyze,...
Location:
New Orleans, LA
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
Upper Middle Income Jobs ($50K-$79K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

Recommended

WorkKeys®

Associate Principal Analyst, Risk Monitoring
Quick view
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and...
Add to Your Backpack | See all jobs from this company
From Financial Industry Regulatory Authority, Inc.
Report this job
Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
Boca Raton, FL
View Map
About the job:
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. - Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. - Collaborates with internal departments to analyze,...
Location:
Boca Raton, FL
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
Upper Middle Income Jobs ($50K-$79K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

Recommended

WorkKeys®

Associate Principal Analyst, Risk Monitoring
Quick view
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and...
Add to Your Backpack | See all jobs from this company
From Financial Industry Regulatory Authority, Inc.
Report this job
Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
Los Angeles, CA
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About the job:
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. - Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. - Collaborates with internal departments to analyze,...
Location:
Los Angeles, CA
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
Upper Middle Income Jobs ($50K-$79K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

Recommended

WorkKeys®

Examiner, T&E
Quick view
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low...
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From Financial Industry Regulatory Authority, Inc.
Report this job
Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
Chicago, IL
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About the job:
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low risk and complexity. - Completes key trainings. - Participates in meetings with firms. - 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 systems, etc.). - Ensure...
Location:
Chicago, IL
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
High Income Jobs ($80K-$99K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

Recommended

WorkKeys®

Examiner, T&E
Quick view
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low...
Add to Your Backpack | See all jobs from this company
From Financial Industry Regulatory Authority, Inc.
Report this job
Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
Denver, CO
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About the job:
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low risk and complexity. - Completes key trainings. - Participates in meetings with firms. - 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 systems, etc.). - Ensure...
Location:
Denver, CO
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
Upper Middle Income Jobs ($50K-$79K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

Recommended

WorkKeys®

Associate Principal Analyst, Risk Monitoring
Quick view
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and...
Add to Your Backpack | See all jobs from this company
From Financial Industry Regulatory Authority, Inc.
Report this job
Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
Kansas City, MO
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About the job:
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. - Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. - Collaborates with internal departments to analyze,...
Location:
Kansas City, MO
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
Upper Middle Income Jobs ($50K-$79K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

Recommended

WorkKeys®

Examiner, T&E
Quick view
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low...
Add to Your Backpack | See all jobs from this company
From Financial Industry Regulatory Authority, Inc.
Report this job
Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
Jericho, NY
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About the job:
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low risk and complexity. - Completes key trainings. - Participates in meetings with firms. - 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 systems, etc.). - Ensure...
Location:
Jericho, NY
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
High Income Jobs ($80K-$99K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

Recommended

WorkKeys®

Examiner, T&E
Quick view
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low...
Add to Your Backpack | See all jobs from this company
From Financial Industry Regulatory Authority, Inc.
Report this job
Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
New Orleans, LA
View Map
About the job:
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low risk and complexity. - Completes key trainings. - Participates in meetings with firms. - 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 systems, etc.). - Ensure...
Location:
New Orleans, LA
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
High Income Jobs ($80K-$99K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

Recommended

WorkKeys®

Examiner, T&E
Quick view
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low...
Add to Your Backpack | See all jobs from this company
From Financial Industry Regulatory Authority, Inc.
Report this job
Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
Atlanta, GA
View Map
About the job:
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low risk and complexity. - Completes key trainings. - Participates in meetings with firms. - 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 systems, etc.). - Ensure...
Location:
Atlanta, GA
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
High Income Jobs ($80K-$99K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

Recommended

WorkKeys®

Associate Principal Analyst, Risk Monitoring
Quick view
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and...
Add to Your Backpack | See all jobs from this company
From Financial Industry Regulatory Authority, Inc.
Report this job
Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
Denver, CO
View Map
About the job:
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. - Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. - Collaborates with internal departments to analyze,...
Location:
Denver, CO
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
Upper Middle Income Jobs ($50K-$79K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

Recommended

WorkKeys®

Examiner, T&E
Quick view
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low...
Add to Your Backpack | See all jobs from this company
From Financial Industry Regulatory Authority, Inc.
Report this job
Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
Los Angeles, CA
View Map
About the job:
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low risk and complexity. - Completes key trainings. - Participates in meetings with firms. - 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 systems, etc.). - Ensure...
Location:
Los Angeles, CA
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
High Income Jobs ($80K-$99K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

Recommended

WorkKeys®

Associate Principal Analyst, Risk Monitoring
Quick view
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and...
Add to Your Backpack | See all jobs from this company
From Financial Industry Regulatory Authority, Inc.
Report this job
Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
Philadelphia, PA
View Map
About the job:
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. - Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. - Collaborates with internal departments to analyze,...
Location:
Philadelphia, PA
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
Upper Middle Income Jobs ($50K-$79K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

Recommended

WorkKeys®

Examiner, T&E
Quick view
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low...
Add to Your Backpack | See all jobs from this company
From Financial Industry Regulatory Authority, Inc.
Report this job
Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
Dallas, TX
View Map
About the job:
To conduct risk-based examinations of FINRA member firms and registered representatives. Essential Job Functions: - Leads examinations of low risk and complexity with direct supervision. - Conducts and memorializes discovery and risk reviews of low risk and complexity. - Completes key trainings. - Participates in meetings with firms. - 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 systems, etc.). - Ensure...
Location:
Dallas, TX
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
High Income Jobs ($80K-$99K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

Recommended

WorkKeys®

Associate Principal Analyst, Risk Monitoring
Quick view
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and...
Add to Your Backpack | See all jobs from this company
From Financial Industry Regulatory Authority, Inc.
Report this job
Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
San Francisco, CA
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About the job:
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. - Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. - Collaborates with internal departments to analyze,...
Location:
San Francisco, CA
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
High Income Jobs ($80K-$99K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

Recommended

WorkKeys®

Associate Principal Analyst, Risk Monitoring
Quick view
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and...
Add to Your Backpack | See all jobs from this company
From Financial Industry Regulatory Authority, Inc.
Report this job
Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
Atlanta, GA
View Map
About the job:
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. - Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. - Collaborates with internal departments to analyze,...
Location:
Atlanta, GA
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
High Income Jobs ($80K-$99K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

Recommended

WorkKeys®

Associate Principal Analyst, Risk Monitoring
Quick view
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and...
Add to Your Backpack | See all jobs from this company
From Financial Industry Regulatory Authority, Inc.
Report this job
Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
View company profile

Location
Dallas, TX
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About the job:
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. - Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. - Collaborates with internal departments to analyze,...
Location:
Dallas, TX
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
Upper Middle Income Jobs ($50K-$79K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

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Associate Principal Analyst, Risk Monitoring
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Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and...
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From Financial Industry Regulatory Authority, Inc.
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Date
2020-05-28
Company
Financial Industry Regulatory Authority, Inc.
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Location
Boston, MA
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About the job:
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Essential Job Functions: - This is a senior-level position reporting to a Risk Monitoring Director and supports both that direct manager in identifying existing and emerging risks, and interactions with internal and external parties. - Conducts risk monitoring activities, that can include complex or elevated risk firms with guidance and minimal supervision of a Risk Monitoring Director or designee. - Collaborates with internal departments to analyze,...
Location:
Boston, MA
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
High Income Jobs ($80K-$99K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

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Data Center Technician
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Serve as data center support engineer. Responsible for ensuring that FINRA’s regional data centers and LAN closets day to day operation is at peak efficiency. Provide 24x7 support roll for Layer one Infrastructure for server team, storage team and...
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From Financial Industry Regulatory Authority, Inc.
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Date
2020-05-27
Company
Financial Industry Regulatory Authority, Inc.
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Location
Rockville, MD
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About the job:
Serve as data center support engineer. Responsible for ensuring that FINRA’s regional data centers and LAN closets day to day operation is at peak efficiency. Provide 24x7 support roll for Layer one Infrastructure for server team, storage team and Network team. Essential Job Functions: Technical Skills: - Able to follow blueprints and schematics - Understanding Vertical and Horizontal Riser in relation to a building and cable - Obtaining job specifications and establishing standards to ensure Consistency throughout the project - Setting up cable pathways - racks, inner-duct and raised floor...
Location:
Rockville, MD
Job Type:
Full-Time
Permanent
Occupation:
Network and Computer Systems Administrators
Salary:
High Income Jobs ($80K-$99K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Certification, Accreditation and Test
American National Standards
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
5

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Principal Examiner, TFCE
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To conduct risk-based examinations of FINRA member firms and registered representatives Essential Job Functions: - Leads examinations of all levels of risk and complexity with minimal supervision - Conducts and memorializes discovery and risk...
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From Financial Industry Regulatory Authority, Inc.
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Date
2020-05-27
Company
Financial Industry Regulatory Authority, Inc.
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Location
New York, NY
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About the job:
To conduct risk-based examinations of FINRA member firms and registered representatives Essential Job Functions: - Leads examinations of all levels of risk and complexity with minimal supervision - Conducts and memorializes discovery and risk reviews of all levels of risk and complexity - Proactively identifies notable trends and participates in national projects - 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...
Location:
New York, NY
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Salary:
High Income Jobs ($80K-$99K)
Career Level/Education:
Bachelor's degree
Certifications/Licenses:
Financial Industry Regulatory Authority
Accounting
Preferred WorkKeys®
Applied Math
5
Graphic Literacy
4
Workplace Documents
4

Display

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WorkKeys®

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