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Principal Analyst, Risk Monitoring, Trading and Execution - Any FINRA Location

FINRA
Rockville, MD
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Responsible for conducting risk monitoring activities and ongoing risk ...
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Summary
About the job:
assessments of FINRA members reporting to a Risk Monitoring Director. - 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, communicate and make...
Location:
Rockville, MD
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 Investigator, NCP - Any FINRA Location

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

AML/BSA Investigator

Eaglebank
Rockville, MD
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We are a values driven organization putting Relationships FIRST . EagleBank ...
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Summary
About the job:
(NASDAQ – EGBN) is focused on being Flexible, Involved, Responsive, Strong , and Trusted . By prioritizing meaningful connections with our customers, employees, and shareholders, we relentlessly deliver the most compelling, valuable service to our customers. EagleBank is committed to inclusion, equity, and respect. We celebrate diversity and intentionally seek out opportunities to learn from one another’s experience. We believe employees are essential to the building of relationships and we prioritize investing in...
Location:
Rockville, MD
Job Type:
Full-Time
Permanent
Occupation:
Financial Examiners
Career Level / Education:
Bachelor's degree
Salary:
High Income Jobs ($80K-$99K)
Certifications / Licenses:
Certified Anti-Money Laundering Specialist
Certified Business Analysis Professional
Workkeys
Applied Math
5
Graphic Literacy
4
Workplace Documents
4
apply
Detailed Job Information

Principal Communications Compliance Analyst, Advertising Regulation

Financial Industry Regulatory Authority, Inc.
Rockville, MD
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remote type Remote Are you looking for purpose and meaning in your work? ...
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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:
Rockville, MD
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 Investigator, Specialist Team - Any Finra Location

Financial Industry Regulatory Authority, Inc.
Rockville, MD
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The Principal Investigator, Specialist Teams, conducts high complexity ...
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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:
Rockville, MD
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.
Rockville, MD
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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:
Rockville, MD
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.
Rockville, MD
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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:
Rockville, MD
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 Communications Compliance Analyst, Advertising Regulation

FINRA
Rockville, MD
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
Job Description: Are you looking for purpose and meaning in your work? Does ...
Details
Summary
About the job:
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:
Rockville, MD
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 Analyst, Advertising Regulation

FINRA
Rockville, MD
Actions
Apply
Save to My Profile
See all jobs from this company
See who you know on LinkedIn
Report this job
Independently conducts complex analyses of FINRA firms' communications with ...
Details
Summary
About the job:
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 regulatory agencies. -...
Location:
Rockville, MD
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

FINRA
Rockville, MD
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:
Rockville, MD
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
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Occupation: Financial Examiners
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