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,...
Digital Communications Jr. Surveillance Analyst – Compliance & Risk
In the role of Digital Communication Surveillance Analyst, you will be keeping up with developments in digital communication and surveillance technology and be challenged to devise proactive compliance and risk management responses. Our team, in the Global Compliance Department of S&P Global Ratings...
Digital Communications Surveillance Jr. Analyst – Compliance & Risk
In the role of Digital Communication Surveillance Analyst, you will be keeping up with developments in digital communication and surveillance technology and be challenged to devise proactive compliance and risk management responses. Our team, in the Global Compliance Department of S&P Global Ratings...
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