Trabajos finra en Newark, New Jersey (NJ) State

Ensure regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner. Moderate and/or present subject matter material at internal meeting and conferences including, new analyst trainings or other FINRA training programs. Exemplify the FINRA Leadership Chara...

FINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. ...

Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA’s culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties. This Senior Analyst position within the Surveillance and Market Inte...

Intermediate knowledge of FINRA's risk fundamentals. ...

Independently conducts complex analyses of FINRA firms’ communications with the public both independently of, and in conjunction with, other FINRA departments and other regulators. As a not-for-profit entity, FINRA (Financial Industry Regulatory Authority) operates under the oversight of the SEC ...

Intermediate knowledge of FINRA's nine risk fundamentals. ...

FINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. The Director is also responsible fo...

Legal externs work closely with Enforcement’s attorneys, investigators and management to assist Enforcement in investigating and determining whether FINRA regulated firms and/or associated individuals violated the federal securities laws or FINRA, or MSRB rules. FINRA requires at least one credit...

Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA’s culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties. This Senior Analyst position within the Surveillance and Market Inte...

The Director develops and supervises specialists regulatory programs and work products related to the routine and special examinations/investigations and other reviews related to finances, policies, procedures, practices, and products offered by FINRA member firms and their associated persons. R...

Recommend charges and sanctions consistent with FINRA’s priorities and principles;. Draft and finalize settlement documents that clearly describe the facts, the basis for FINRA charges, and the Principal Considerations that support the sanction. ...

Works closely with FINRA’s Ethics Office on policy issues, procedures updates, and enhancements to the COI Certification (COIC) System. Assists with policy and procedure-related work in support of FINRA’s Governance, Risk and Compliance (GRC) tool. Reviews the collection of materials responsive t...

Represent FINRA before industry and regulatory groups and organizations; serve as speaker at regulatory policy public conferences and meetings of FINRA committees on areas of subject matter expertise. The incumbent is responsible for providing high quality and timely legal and advisory support to...

The Principal Analyst uses statistical methods to enhance the risk analysis and participates, with the Director or Senior Director, in consultations with FINRA Technology, and MSRB and SEC staff regarding data provided by those organizations that is necessary for FINRA to fulfill its examination ...

Demonstrates FINRA’s values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA’s culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties. This Senior Analyst position within the Surveillance and Market Inte...

Demonstrates a culture of FINRA’s values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA’s culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties. The Principal Investigator conducts comprehensive and t...

Independently conducts complex analyses of FINRA firms’ communications with the public both independently of, and in conjunction with, other FINRA departments and other regulators. Conducts routine and complex assessments and analyses, including spot-checks, of FINRA firms’ communications. Partic...

FINRA is dedicated to protecting investors and ensuring the integrity of America's financial system. At FINRA we are focused on employee career development, offering learning opportunities, resources, and tools to help you achieve your professional aspirations. He or she will assist in setting u...

Ensure regulatory programs serve departmental goals and FINRA’s mission in an efficient and effective manner. Moderate and/or present subject matter material at internal meeting and conferences including, new analyst trainings or other FINRA training programs. Exemplify the FINRA Leadership Chara...

Deliver high-quality work products that meet or exceed FINRA standard. ...

Ensure all work products meets /exceeds FINRA standards. ...

Demonstrates a culture of FINRA’s values of Responsibility, Innovation, Collaboration and Expertise, while embracing FINRA’s culture of diversity and inclusion, in interactions with colleagues, management, FINRA members, and outside parties. The Associate Principal Investigator conducts comprehen...

Provide investigative and legal support to Enforcement.Perform legal research for staff attorneys.Assist with preparing exhibits and sharing exhibits for on-the-record testimony.Assist with customer interviews and prepare memorandum.Assist investigators with investigative tasks such as data entry...

The Associate Product Manager assists with the process of defining product and product feature requirements and communicating those requirements to user experience and technology delivery teams.This includes leveraging user feedback, business strategy, data/analytics, and input from design and te...