Associate Director – Market Regulation, Market Analysis recruitment
Additionally, assist in the development of MA1/MA2 surveillance programs. Plan and coordinate staff activities to ensure consistency of work process and work product, promote best practices, and the efficient flow of work and information among Quality of Markets staff and other Market Regulation Department personnel. Essential Job Functions:The Associate Director is primarily responsible for the leadership, direction and the management of MA1/MA2 teams. The Associate Director specifically performs the following functions:Plan and coordinate staff activities to ensure that qualitative and quantitative Read more […]
Regulatory Analyst – Market Regulation, Floor Surveillance recruitment
Essential Job Functions:Conduct surveillance of trading in NYSE and NYSE Amex listed securities. Conduct in-depth and timely investigations of trading in NYSE and NYSE Amex listed securities. Perform analysis of trading activity to detect possible violation of rules, policies, and procedures. Interact with member organizations to obtain information and documentation. Examine all related market data and reconstruct trading using various automated tools and other methods. Conduct interviews and depositions of market participants and supervisory personnel. Draft investigative memoranda detailing Read more […]
Manager II – Market Regulation, Options Regulation recruitment
Essential Job Functions:Takes leadership role by providing input to senior managers in identifying and anticipating regulatory issues that impact the role and responsibilities of the team and developing plan to address these issues.Takes a leadership role in implementing regulatory plans under the direction of senior managers by coordinating staff to accomplish goals.Assists senior managers in the budgeting, recruitment, and training of staff pursuant to regulatory and business plans.Provides excellent internal/external customer service and assists management in anticipating/planning customer needs.Interfaces Read more […]
Regulatory Analyst – Market Regulation, Fixed Income recruitment
Job Summary:The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and regulations enforced by FINRA. Essential Job Functions:Routinely analyzes trading activity in area of primary responsibility for indications of potential violative activity. Conducts routine reviews and investigations into possible violations of the relevant rules and regulations enforced by FINRA relating to fixed income markets and/or federal securities laws. Compiles and organizes information from a variety of sources to be used in the Read more […]
Regulatory Analyst – Market Regulation, Trade Exams & Special Reviews
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Regulatory Analyst opening in New York, NY. To be considered for this position, please submit your resume through our careers site. No phone calls please. Job Summary: The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of relevant rules and regulations enforced by FINRA and it clients. Essential Job Functions: Conduct surveillance of trading in NYSE and NYSE Amex listed securities. Conduct in-depth and timely investigations Read more […]
Director – Market Regulation
This role would suit an individual who has good market knowledge with a solid grasp of regulation and operation of the securities and derivatives markets in Hong Kong.You will join a professional team which sets the organizations regulatory policy formation and provides supervision of system infrastructure, risk management, clearing, exchanges, clearing houses, automated trading and trading services in relation to trading.This is a Senior role with responsibility to be the primary advisor with regards to policy on market supervision and orderly transaction of business on the stock and futures market. Read more […]