- Citizens (Boston, MA)
- Description This FINRA / Securities Specialist Investigator III will be tasked with investigating potential federal FINRA Rules and Securities Law ... associated persons. In this role, you will perform investigative functions for securities cases to develop complete and factual investigative records and make… more
- Bank of America (Phoenix, AZ)
- Global Financial Crimes Compliance (GFCC) Investigator - Brokerage Charlotte, North Carolina;New York, New York; Hunt Valley, Maryland; Pennington, New Jersey; ... to Law Enforcement as required. The Global Financial Crimes Compliance (GFCC) Investigator performs end-to-end investigations across one or more lines of business… more
- Federal Reserve Bank (San Francisco, CA)
- …LISSC program. Right now, we have a fantastic opportunity for **Sr. Risk Specialist ** to join our team. Our ideal candidate has industry or regulatory experience ... interagency coordination through collaborative work with other supervisors (ie, OCC, FDIC, FINRA , SEC) and other internal partners (ie, within the division, Board of… more