Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk... and Deception, Money Laundering, and Market). Knowledge Requirements: Advanced knowledge of FINRA's risk fundamentals...
The Principal Investigator, Specialist Teams, conducts high complexity investigations of FINRA member firms... FINRA high risk registered representatives. This is an expert level, professional position that requires an expanded...
work history in satisfying regulators (SEC, FINRA, etc.) Ability to manage relationships and interact respectfully... Review Tool preferred Registrations: Active FINRA registration including Series 7 and 66 are required Life and Health...
Job Description: This FINRA/Securities Specialist Investigator III will be tasked with investigating potential... federal FINRA Rules and Securities Law violations and, when warranted, bringing cases forward to law enforcement...
in the CRD and FINRA systems and process all related documentation. Keeping track and assisting in the annual compliance...
Company Overview and Culture EXL (NASDAQ: EXLS) is a leading data analytics and digital operations and solutions company. We partner with clients using a data and AI-led approach to reinvent business models, drive better business outcomes...
responsible for the processing of invoices and expense reporting for FINRA and its subsidiaries, and will work closely... that range from the minimum to the mid-point of the salary range. FINRA provides full pay ranges so that the candidate can consider...
FINRA’s Data Management and Governance Office (DMGO) creates and operationalizes a formal data governance structure... a wide variety of data quality functions that support the DMGO’s strategy in the management of FINRA’s data assets...
to support the DMGO’s data strategy and FINRA’s strategic initiatives. Essential Job Functions: Lead the design, development.... Work closely with FINRA’s Data Privacy team to identify and address potential data risks, and to protect sensitive data...
. Candidates can expect salary offers that range from the minimum to the mid-point of the salary range. FINRA provides full pay... ranges so that the candidate can consider their growth potential while at FINRA. #LI-Hybrid To be considered...