FINRA Senior Surveillance Compliance Analyst

Job Summary

A company is looking for a Senior Surveillance Compliance Analyst.

Key Responsibilities:

• Train and support new Compliance Analysts
• Perform general trade surveillance reviews, focusing on potential sales practice exceptions
• Conduct ongoing monitoring of sales practice and supervision, operations, trading, cashiering function, etc

Required Qualifications:

• Bachelor's degree or equivalent combination of education and experience
• 5+ years of financial services experience
• 2+ years of compliance experience
• Series 7, 63, and 24 (or 9 & 10) licenses
• Proficient in Excel, Word, Power Point, and Outlook