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 […]
Regulatory Analyst – Securities Fraud Investigations-OFDMI/Whistleblower recruitment
Job Summary: The Regulatory Analyst conducts reviews and investigations to compile evidence of potentially fraudulent or illegal conduct which may constitute violations of applicable federal securities laws and/or FINRA rules and regulations. The position involves professional work in which incumbents are fulfilling their assigned roles, applying their job skills, and working under management supervision. Essential Job Functions:Conducts comprehensive reviews and investigations into possible violations of FINRA rules and/or federal securities laws.Demonstrates knowledge of the rules and regulations 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 […]
Regulatory Analyst
UnitedHealth Group is among the most ambitious Fortune 25 companies you’ll ever meet. Through our family of businesses, we’re working to make the health care system perform better for more people, in more ways than ever. Simply put, we think the entire system can be greater than it’s ever been. And that drives us to work harder, aim higher, and expect more from one another. Here, you’ll be empowered to make an immediate impact for millions of others. And you’ll achieve more than you ever expected. How does that fit with your plans?