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Posted On Sep 01, 26
Full-time 1 views Experience : 5-10 yrs required

Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Conduct risk monitoring activities and ongoing risk assessments of FINRA members, reporting to a Risk Monitoring Director. - Support the Risk Monitoring Director in identifying existing and emerging risks, and interact with internal and external...

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Posted On Jul 26, 26
Full-time

Title: Senior Principal Investigator, Crypto Asset Investigations - Tokenized Securities Markets Job Responsibilities: The Senior Principal Investigator in Crypto Asset Investigations is tasked with conducting high-complexity investigations into crypto asset activities of member firms and their associated persons. This role requires...

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Posted On Jun 10, 26
Full-time 4 views Experience : Min 10 yrs required

Title: Senior Director, Market Strategy & Research Job Responsibilities: The Senior Director, Market Strategy & Research is a pivotal role that provides leadership in regulatory risk assessment and strategy development. The responsibilities include: - Collaborating with the head of Surveillance Operations and senior...

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Posted On Jun 21, 26
Full-time 12 views

Title Principal Analyst, Risk Monitoring Job Responsibilities As a Principal Risk Monitoring Analyst at the organization, you will play a crucial role in maintaining the integrity of . securities markets by identifying emerging risks and assessing complex member firms. Your...

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Posted On Jul 26, 26
Full-time Experience : 5-10 yrs required

Title: Senior Principal Investigator, Crypto Asset Investigations - Blockchain Technology Job Responsibilities: - Independently lead investigations related to tokenized securities and other crypto asset activities of organization member firms and associated persons. - Document investigative strategies, findings, and results in...

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Posted On Aug 12, 26
Full-time 1 views

Title: Principal Analyst, Risk Monitoring Job Responsibilities: - Lead risk monitoring activities for complex and elevated-risk member firms, utilizing independent judgment with the support of a Risk Monitoring Director. - Identify emerging and existing risks across assigned firms, coordinating with specialists and internal...

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Posted On Aug 20, 26
Full-time 1 views Experience : 2-10 yrs required

Title: Director, Investigations - Crypto Exam and Regulatory Conduct Job Responsibilities: The Director of the Crypto Exam and Regulatory Conduct team is tasked with leading a team of investigators focused on crypto-related investor protection risks, market conduct rules, and regulatory...

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Posted On Aug 20, 26
Full-time Experience : 2-10 yrs required

and market abuse within the securities industry. - Oversee investigations using both onchain techniques (such as blockchain analytics, smart contract auditing) and traditional methods (such as data analysis and open-source intelligence). -... Ensure timely resolution of cases by monitoring progress, identifying issu...

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