Broker-Dealer Surveillance Analyst
- New York, NY
Broker - Dealer, FINRA Member. U.S. Based Financial Services Company. Offices in major U.S. Cities.
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.)
*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
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
If this sounds like the right job for you, you can use the button below to submit your resume. Please attach resume in Word format preferably or send email with it attached.