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Top Tech Jobs & Startup Jobs in Denver & Boulder, CO
Financial Services
Conduct risk-based examinations of trading firms, evaluate compliance with SEC regulations, and mentor junior examiners while analyzing trading data and controls.
Top Skills:
Data ResourcesFinra SystemsSec Regulations
Financial Services
The Principal Analyst conducts complex surveillance reviews, identifies regulatory violations, mentors staff, and enhances surveillance processes within the securities industry.
Top Skills:
Analytics ToolsFederal Securities LawsFinra RulesSurveillance Tools
Financial Services
Conduct surveillance reviews to identify unusual market activity and potential violations, analyze trading activity, and develop surveillance tools.
Top Skills:
FinraMsrbSecurities Exchange Act
Financial Services
The Specialist analyzes and processes intelligence related to cybersecurity risks, develops strategies, and collaborates with stakeholders to mitigate risks to investor protection.
Top Skills:
Microsoft Office Suite
Financial Services
The Senior Principal Analyst conducts Quality Assurance reviews, enhances QA metrics, collaborates with team managers, and provides subject matter expertise to ensure effective surveillance practices.
Top Skills:
Finra RulesMsrb RulesSecurities Exchange Act
Financial Services
The Principal Analyst conducts quality assurance reviews of market surveillance activities, assesses findings, and contributes to reporting, ensuring regulatory compliance and efficiency in the SMI team.
Top Skills:
Data Analysis SoftwareFinra RegulationsMarket Surveillance SystemsPresentation ToolsQuality Assurance Frameworks
Financial Services
The Senior Director leads FINRA’s Cyber and Analytics Unit, overseeing teams focused on cyber-enabled fraud investigations and analytics. The role includes strategic planning, staff development, and collaboration with regulatory bodies.
Top Skills:
CybersecurityData Analytics
Financial Services
The Principal Analyst will lead regulatory initiatives, enhance processes, maintain operational standards, and oversee complex operational issues within Member Supervision Operations.
Top Skills:
MS Office
Financial Services
The Lead Product Manager leads technology initiatives to enhance legal operations, manage products, and collaborate with stakeholders for effective implementation.
Top Skills:
Advanced ReportingAnalytics ToolsTechnology Solutions
Financial Services
Conduct risk monitoring activities, support risk assessments, mentor junior staff, and collaborate with departments to communicate regulatory intelligence.
Top Skills:
ExcelMicrosoft Word
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