Compliance Provider Jobs
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FINRA is seeking an experienced Product Manager to lead the Graph Platform and AI-Graph Integration initiatives. This role will work at the intersection of regulatory operations, data intelligence, and generative AI, par...
R235408 Job Profile Position Overview At PNC, our people are our greatest differentiator and competitive advantage in the markets we serve. We are all united in delivering the best experience for our customers. We work t...
The Principal Analyst demonstrates a highly proficient level of competence in identifying risks, developing regulatory strategies to address those risks, and working with internal and external constituents to achieve the...
The Director, Market Strategy & Research provides leadership in proactive regulatory risk assessment and the development of regulatory strategy. This role is essential to enabling Surveillance to effectively develop...
This Principal Analyst position within Regulatory Operations Surveillance is responsible for conducting complex surveillance reviews under minimal supervision and identifying violations of applicable federal securities,...
Major Purpose: The Lead Analyst will directly manage the business and data analysis activities on one or more complex Market data intake and processing projects. The Lead Analyst will collaborate with upstream data vendo...
Job Description Summary The Loan Servicing and Quality Assurance Specialist will perform both data input of transactions and quality review of the core loan system for both consumer and commercial loans. Responsibilities...
The Vice President, Strategic Intelligence, will be a key member of the Intelligence leadership team, reporting directly into the Senior Vice President of Strategic Intelligence. This highly strategic leader will lead an...
The Vice President, Trading and Product Risk Intelligence, will be a key member of the Intelligence leadership team, reporting directly into the Senior Vice President of Strategic Intelligence. This highly strategic lead...
Are you a seasoned employee relations professional who thrives on solving complex workplace challenges and driving meaningful organizational change? At FINRA, we're looking for a Senior Employee Relations Specialist to b...
Job Description Summary The Manager, Supervision - Trade Review helps protect Raymond James clients, Financial Advisors, and the firm by leading a team responsible for reviewing trade and account activity, identifying ri...
Job Description Summary The Director, Supervision - Trade Review provides strategic leadership for a critical component of Raymond James' supervisory framework. This role is responsible for leading Trade Review managers,...
The Specialist, Corporate Real Estate serves as a frontline resource supporting FINRA's hybrid workplace model and facilities operations. Under general direction of the manager, this role supports workspace management wi...
The Principal Analyst is responsible for creating, maintaining, and updating training modules for key Dispute Resolution Services (DRS) regional job categories. Train new regional hires. Create and deliver just-in-time,...
Independently conducts complex analyses of FINRA firms’ communications with the public both independently of, and in conjunction with, other FINRA departments and other regulators. Provides assistance and support to Asso...
Major Purpose: The Staff Analyst will guide individual product features through the development lifecycle, from initial scoping through to production roll-out to ensure an excellent outcome. Staff Analysts will be able t...
Job Description Summary As part of our Compliance, Supervision, Risk & Audit (CSRA) IT Team, a Lead Business Analyst will serve as a strategic partner to business and IT driving the delivery of innovative, scalable,...
The Senior Analyst in Market Operations section of Transparency Services conducts reviews and analysis for Over-the-Counter equity securities to identify potential violations of applicable federal securities and FINRA ru...
Job Description Summary This position follows our hybrid-friendly schedule, so you get the best of both worlds – flexibility and collaboration. In office days will be 3 per week in one of the following locations: St. Pet...
Job Description Summary Execute standard banking transactions for specific units or operating/processing departments in accordance with administrative and operational processes. Process a range of specialized and non-sta...