Compliance Provider Jobs
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The Principal Investigator independently conducts complex, high-risk investigations, developing strategies, identifying regulatory risks, and producing well-documented findings under limited supervision. This role serves...
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,...
Job Description Summary Under intermittent supervision and with a high level of autonomy, uses knowledge and skills obtained through education and experience to build, analyze, and continuously improve the enterprise pol...
The Senior Principal Investigator is an expert-level professional responsible for independently leading and completing FINRA's highest-risk and most complex investigations across assigned misconduct areas. This role exer...
Oversees and supports day-to-day security operations for assigned FINRA multi-site locations. Essential Job Functions: Supervises contract security officers at assigned location(s) and supports established security progr...
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...
The Principal Investigator is an advanced professional responsible for independently conducting and completing investigations of high risk and complexity across assigned misconduct areas. This role exercises strong indep...
The Principal Investigator is an advanced professional responsible for independently conducting and completing investigations of high risk and complexity across assigned misconduct areas. This role exercises strong indep...
The Senior Principal Research Analyst in Regulatory Operations Analytics is responsible for the planning and execution of analytics projects throughout their lifecycle. This includes defining the approach, having the abi...
FINRA's Strategic Intelligence group sits at the intersection of financial regulation and intelligence tradecraft — translating complex market signals into the actionable insights that drive better, faster regulatory dec...
The Associate Director serves as primary delegate to the Director and is the senior position accountable for the full scope of security and life-safety across the organization. This role carries enterprise-wide responsib...
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...
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...
The Quantitative Analyst in Regulatory Operations Analytics is responsible for the planning and execution of analytics projects throughout their lifecycle. This includes defining the approach, having the ability to scope...
The Director, Investor Education Outreach develops and manages multi-faceted outreach programs for the Office of Investor Education and the FINRA Investor Education Foundation primarily related to investor protection and...
This position performs a variety of duties, including applying analytical skills to research, review, analyze, and process legal documents such as pleadings filed in FINRA's arbitration forum. This is administrative prof...