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Posted On Jul 26, 26
Full-time 1 views Experience : Min 12 yrs required

Title: Senior Advisor: Market Regulation & Regulatory Service Agreement (RSA) Job Responsibilities: Regulatory Intelligence & Strategic Advisory - Monitor, analyze, and interpret complex regulatory developments related to market structure and market regulation from exchanges, organization, the SEC, and other regulatory bodies. - Provide expert...

Posted On Sep 08, 26
Full-time 1 views Experience : Min 6 yrs required

Principal Analyst, Dispute Resolution Services Training Job Responsibilities: The Principal Analyst... within the Dispute Resolution Services (DRS) sector. The role... involves training new regional hires and delivering customized, just-in-time training for all DRS staff levels on new rules, procedures, and policies. Additionally,...

Full-time 8 views Experience : Min 6 yrs required

Title: Counsel, Enforcement Job Responsibilities: - Resolve non-complex Enforcement matters through rigorous assessment and effective advocacy. - Execute a risk-based legal strategy to assess the record fairly and recommend a fair and effective outcome by accurately assessing the evidence and...

Posted On Jun 21, 26
Full-time 11 views

Title: Principal Analyst, Risk Monitoring Job Responsibilities: As a Principal Risk Monitoring Analyst, you will play a crucial role in protecting the integrity of . securities markets. Reporting directly to a Risk Monitoring Director, you will: - Lead sophisticated risk assessments of member...

Posted On Jul 26, 26
Full-time 2 views

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

Posted On Aug 12, 26
Full-time 2 views Experience : 3-5 yrs required

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

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 proficient team of investigators addressing crypto-related investor protection risks, market conduct rules, and regulatory obligations. The...

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

Title: Director, Investigations - Crypto Fraud and Market Abuse Job Responsibilities: The Director of the Crypto Fraud & Market Abuse team is tasked with leading a specialized team of investigators focusing on detecting, investigating, and mitigating crypto-related fraud and market abuse within...

Posted On Aug 31, 26
Full-time 2 views Experience : Min 10 yrs required

Title: Director, Emerging Technology Intelligence Job Responsibilities: - Serve as a senior partner to internal and external stakeholders, leading efforts to identify emerging threats and drive intelligence-driven initiatives. - Lead a team of intelligence analysts in identifying, analyzing, and predicting emerging risks, threats,...

Posted On Sep 01, 26
Full-time 2 views

Title: Principal Analyst, Risk Monitoring Job Responsibilities: The Principal Analyst, Risk Monitoring, is a senior-level position reporting to a Risk Monitoring Director. The role involves conducting risk monitoring activities and ongoing risk assessments of FINRA members. Key responsibilities include: - Supporting the Risk...

Posted On Sep 08, 26
Full-time 1 views Experience : Min 12 yrs required

Title: Senior Director, Trading and Product Risk Intelligence Job Responsibilities: - Serve as a senior strategic partner to internal and external stakeholders, providing guidance on cross-departmental efforts to identify emerging threats and driving intelligence-led initiatives with measurable impact across the...

Full-time 1 views Experience : Min 2 yrs required

involving eviction defense, federal housing subsidy termination, housing discrimination, and other housing-related matters. - Develop and maintain specialized expertise in housing law, focusing on eviction defense... under Florida law and federal and subsidized... housing programs such as Public Housing, Section 8/Ho...

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