Broker-Dealer Surveillance Analyst

  • New York, NY
  • Full-time

Company Description

Broker - Dealer, FINRA Member. U.S. Based Financial Services Company. Offices in major U.S. Cities.

Job Description

Currently seeking a Broker-Dealer Surveillance Analyst to join a growing team in the New York area. The ideal candidate will preferably hold College degree and possess a minimum of 3 years in a Broker-Dealer compliance officer position, preferably as a Capital Markets Compliance Officer or as regulatory experience in surveillance.

Responsibilities of the Broker-Dealer Surveillance Analyst

Monitor for adherence with Trading and Sales related regulatory rules with an emphasis on Know Your Customer (KYC) and Client Suitability.

 Ensure Financial Advisors, Branch Managers, other Personnel, including Registered Representatives are following policies, procedures, rules and regulations.

Regular/constant communication with business and support groups.

Design, develop and test monitoring reports of company trading and sales activity

Understand and apply company policies, laws, broker/dealer industry rules of regulators such as FINRA and the Securities Exchange Commission (S.E.C.)

Qualifications

*College degree - preferred

*Minimum of 3 years in a Broker-Dealer compliance officer position, preferably as a Capital Markets Compliance Officer or as regulatory experience in surveillallance

*Series 7; 24, 55 licenses preferred not required

*Experience Identifying Know Your Customer (KYC), Client Suitability issues

*Strong analysis, problem solving and decision making skills

*Must have excellent communication skills and attention to detail

*Intermediate to superior computer / technology skills particularly all major Microsoft Office brand software

Additional Information

This is a full-time permanent position. In addition to salary,  the position will offer benefits that are available to all Company employees.

Competitive salary and benefits package. Annual Bonus potential

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