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United States
Full-time 3 views Experience : 5-10 yrs required

Title: Litigation Attorney Job Responsibilities: - Manage all stages of litigation and claims management from service of process through to case resolution. - Direct supervision of a paralegal and a claims coordinator. - Oversee low to middle level risk claims and manage the work...

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

Advisor: Market Regulation & Regulatory Service Agreement (RSA) Job... serves as a strategic regulatory advisor and subject matter... structure, market regulation, and Regulatory Services Agreement (RSA) matters.... The... essential job functions: - Regulatory Intelligence & Strategic Advisory:... analyze, and interpret complex regulatory developments from exchanges, the......

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

- Crypto Exam and Regulatory Conduct Job Responsibilities: The... the Crypto Exam and Regulatory Conduct team is tasked... market conduct rules, and regulatory obligations. The Director oversees... the execution of investigations that require both onchain and traditional investigative techniques, including...

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...

Posted On Jul 05, 26
Full-time 2 views Experience : Min 12 yrs required

as a trusted advisor on significant matters related to Enforcement and the organization's regulatory mission. - Exercise sound judgment... and independent decision-making authority within delegated scope, establishing decision frameworks and escalation protocols for when EVP involvement is required. - Lead strategic analys...

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

Title: Director, Investigations - Crypto Fraud and Market Abuse Job Responsibilities: - Lead and manage a team of investigators focusing on crypto-related fraud and market abuse within the securities industry. - Oversee investigations using both onchain techniques (such as blockchain analytics, smart contract...

Posted On Jul 26, 26
Full-time 1 views 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...

Posted On Jul 26, 26
Full-time

Investigations is tasked with conducting high-complexity investigations into crypto asset activities of member firms and their associated persons. This role requires providing subject matter expertise to the regulatory operations staff on crypto... asset matters and initiatives. The investigator also assis...

Posted On Aug 12, 26
Full-time 2 views

independent judgment with the support of a Risk Monitoring Director. - Identify emerging and existing risks across assigned firms, coordinating with specialists and internal teams to execute a comprehensive monitoring strategy. - Collaborate cross-functionally with internal departments to analyze regulatory developments,...

Posted On Aug 31, 26
Full-time 1 views Experience : Min 10 yrs required

cross-departmental efforts to identify emerging threats and drive intelligence-driven initiatives with measurable impact on Strategic Intelligence results. - Lead a team of intelligence analysts in identifying, analyzing, and predicting emerging risks, threats, regulatory trends, and critical events... with broad scope, consideri...

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

stakeholders, guiding cross-departmental efforts to identify emerging threats and driving intelligence-led initiatives with measurable impact across the organization. - Provide leadership to teams identifying, analyzing, and predicting a broad and complex range of emerging risks, threats, regulatory trends, and critical events......

Posted On Sep 15, 26
Full-time 1 views Experience : Min 10 yrs required

Serve as a key member of senior management and strategic advisor to business stakeholders, partnering across departments to provide critical leadership and strategic direction on regulatory oversight, emerging risks, and... intelligence-driven initiatives. - Drive strategic discussions, decisions, and cross-departmental initiativ...

Posted On Sep 15, 26
Full-time 2 views Experience : Min 10 yrs required

Title: Vice President, Trading and Product Risk Intelligence Job Responsibilities: The Vice President, Trading and Product Risk Intelligence, is a pivotal leadership role within the Intelligence leadership team. Reporting directly to the Senior Vice President of Strategic Intelligence, the VP will lead...

Posted On Sep 01, 26
Full-time 2 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...

Posted On Sep 22, 26
Full-time Experience : Min 10 yrs required

for providing leadership in regulatory risk assessment and strategy... several key responsibilities: - Collaborate with Surveillance Operations leadership to conduct continuous qualitative research into market conditions and developments. - Manage an analyst to develop and deliver specialized reports on regulatory issues...

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