The Compliance Analyst will work with the Senior Analyst team leader to conduct post-trade reviews on financial products, identify potential risks and violations, and analyze advisor trading behavior.
The role also involves completing product reviews, responding to inquiries from Compliance / Supervision, and gaining industry knowledge through conferences and webinars.
- Conduct monthly product reviews accurately and in a timely manner
- Analyze advisor trades for violations of Broker-Dealer policies
- Identify trends and patterns in advisor trading behavior
- Assist with responding to Compliance / Supervision inquiries
- Acquire industry and product knowledge through conferences and webinars
Requirements :
- 1-2 years of experience in Compliance, Surveillance, or Supervision
- Proficient in Excel and strong analytical skills
- Knowledge of financial services products such as Mutual Funds, Stocks, and Variable Annuities
- Series 7, 63, and willingness to obtain Series 24
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