A company is looking for a Compliance Surveillance Analyst to conduct monitoring and testing across various lines of business and functions.
Key Responsibilities : Conduct general trade surveillance reviews focusing on sales practice exceptionsAnalyze exception report data for trends and assist with compliance-related inquiriesPerform ongoing monitoring of sales practices, operations, and trading functionsRequired Qualifications, Training, and Education : Bachelor's degree or 2+ years of compliance experience2+ years of financial services experienceFINRA Series 7, 24, and 63 (or 65) licenses required or ability to acquire in 6 monthsExperience in compliance monitoring and testing functionsAbility to work collaboratively within a team environment
Compliance Surveillance Analyst
Key Responsibilities:Conduct general trade surveillance reviews focusing on sales practice exceptionsAnalyze exception report data for trends and assist with compliance-related inquiriesPerform ongoing monitoring of sales practices, operations, and trading functionsRequired Qualifications, Training,...
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