-
Associate Director, MS Operations, Procedures and Standards - Any FINRA Location
Management & Exec · Finra · Rockville, MDAdvance centralization, operational efficiencies, and information sharing, while ensuring the sound management of process, policy and procedures, in alignment with Regulatory Operations (RegOps) priorities and strategy. Essential Job Functions: * ...1 day ago on EquestTools -
Principal Analyst, Regulatory Services Management
Jobs · Finra · Rockville, MDThe Principal Analyst in the Regulatory Services Management team (“RSM”) in FINRA’s Department of Market Regulation and Transparency Services (“MRTS”) is responsible for performing a wide variety of tasks in support of establishing and maintaining...1 day ago on EquestTools -
Associate Specialist, Entitlement
Jobs · Finra · Rockville, MDExercise judgment using documented procedures and policies while performing user provisioning activities that support authorized access to FINRA Entitlement Program applications (e.g., Web CRD, IARD, Web IR, the FINRA Report Center, Regulation Fil...6 days ago on EquestTools -
Associate Specialist, Meetings & Conferences
Jobs · Finra · Washington, DCThe position supports FINRA programs by acting as a primary point of contact for the use and management of Cvent SMMP support and the registration tool. The position touches all aspects related to the FINRA registration system and serves as liaiso...6 days ago on EquestTools -
Senior Analyst, Market Regulation-CAT Reporting
Jobs · Finra · Rockville, MDThis Senior Analyst position within the Surveillance and Market Intelligence section of Market Regulation is responsible for conducting routine surveillance reviews to identify unusual market activity for evidence of violations of applicable feder...2 weeks ago on EquestTools -
Analyst, CAT Helpline
Jobs · Finra · Rockville, MDThe Helpline Analyst will work with internal and external constituents to provide specialized technical support to the Consolidated Audit Trail (“CAT”) Industry Members. The Analyst applies analytical skills to conduct research and coordinate proc...3 weeks ago on EquestTools -
Associate Principal Investigator, MRTS Reporting & Disclosure
Jobs · Finra · Rockville, MDThe Associate Principal Investigator conducts comprehensive and timely investigations, including matters of various sizes and levels of complexity, where there is cause to believe violations exist of applicable rules and securities laws, under FIN...4 weeks ago on EquestTools