Summary OIG is organized into seven operational units: the Immediate Office of the Inspector General, Office of the Counselor, O...
Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitorin...
This Senior Analyst position within the Surveillance and Market Intelligence section of Market Regulation is responsible for cond...
The Associate Principal Analyst has demonstrated a proficient level of competence in identifying risks, developing regulatory str...
The Investigations Director, Specialist Team, manages examinations and investigations of broker-dealers' compliance with applicab...
Advance centralization, operational efficiencies, and information sharing, while ensuring the sound management of process, policy...
The Associate Product Manager assists with the process of defining product and product feature requirements and communicating tho...
The Principal Analyst in the Regulatory Services Management team ("RSM") in FINRA's Department of Market Regulation and...
Job No: 534131; 6 14 2024 - Re-announced ASSOCIATE DIRECTOR OF HOUSING FACILITIES California State University, Los Angeles, inv...
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