FINRA is seeking a Principal Analyst for Financial Disclosure & Trading in the Ethics and Compliance Office. The role focuses on accuracy of disclosures, detection of trading violations, and preparing guidance for Code of Conduct materials and training. This senior individual contributor works independently, maintains confidentiality, and represents ECO at internal engagements. Hybrid work with travel may be required; interaction with employees at all levels is essential.

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Level

Senior L5

Location

Derwood, MD

Occupation

Compliance Officers

Industry

Investment Banking and Securities Intermediation

Posted

2 days ago

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