Compliance Provider Jobs
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The Executive Vice President of Risk and Intelligence is a senior executive accountable for the full lifecycle of regulatory risk intelligence at FINRA. Reporting directly to the Chief Regulatory Operations Officer and s...
With limited supervision and guidance, as needed, reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Essential Job Functions: Review...
Job Description Summary Job Description This position will follow our hybrid work model; we expect the selected candidate to work 3 days a week at our Saint Petersburg, FL, corporate office. Monitor and analyze the organ...
The Senior Principal Analyst of CAT Business Operations leads strategic initiatives and project delivery for the Consolidated Audit Trail (CAT), a critical regulatory program that ensures market transparency and investor...
The Helpline Analyst will work with internal and external constituents to provide specialized technical support to the Consolidated Audit Trail (“CAT”) Industry Members. The Analyst applies analytical skills to conduct r...
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 Mo...
The Helpline Analyst will work with internal and external constituents to provide specialized technical support to the Consolidated Audit Trail (“CAT”) Industry Members. The Analyst applies analytical skills to conduct r...
FINRA’s Office of the Chief Data Officer is seeking an experienced Lead Product Manager to lead the development and delivery of an enterprise-wide Data Inventory platform. This role will drive a strategic initiative to i...
FINRA’s Office of the Chief Data Officer is seeking an experienced Product Manager to lead the Unstructured Data Management (UDM) platform. UDM is a strategic initiative that will transform how FINRA discovers, organizes...
Strategic Intelligence is a team within FINRA's Risk & Intelligence organization that provides strategic and tactical intelligence impacting member firms, investors, and the financial markets, translating into better...
The Product Manager owns the vision and strategy, roadmap, and feature definition for a product within a product group. Responsibilities include writing stories to define outcomes and product requirements as well as plan...
Strategic Intelligence is a team within FINRA's Risk & Intelligence organization that provides strategic and tactical intelligence impacting member firms, investors, and the financial markets, translating into better...
Strategic Intelligence is a team within FINRA's Risk & Intelligence organization that provides strategic and tactical intelligence impacting member firms, investors, and the financial markets, translating into better...
This Associate Principal Analyst position within the Surveillance and Market Intelligence section of Regulatory Operations – Surveillance is responsible for conducting routine surveillance reviews of moderate to high com...
Under limited supervision, this role partners with internal stakeholders to understand business requirements and manage the process for evaluating, pricing, and competitively sourcing goods and services. This role tracks...
This position is responsible for supporting and administering Total Rewards (Compensation and Benefits) programs and the systems that enable them. The role partners with managers, employees, and HR colleagues to deliver...
Job Description Summary Job Description Summary This position is for the Enhanced Due Diligence Team with a primary focus on conducting in-depth reviews of higher-risk customers to identify potential money laundering, te...
Job Description Summary Under limited direction, uses extensive knowledge and skills in securities and/or banking industry compliance obtained through experience, specialized training, and/or certification to develop, ad...