Series 7 and 66 Licensed Analyst

Job Summary

Supporting the firm's supervisory framework, the full-time remote Supervisory Analyst will conduct reviews of Registered Representative activities, monitor potential risks, and ensure compliance with firm policies and regulatory requirements while holding a Series 7 and 66 license.

Key responsibilities:

• Conduct daily, weekly, and monthly reviews of Registered Representative activities, including trading and communications
• Monitor exception reports and escalate potential issues to supervisory principals
• Assist with branch examination preparation and maintain supervisory documentation in accordance with policies

Required qualifications:

• High School Diploma in General Studies
• Series 7 and 66 (or Series 65) required
• 3 years of experience in broker/dealer or RIA business
• Working knowledge of FINRA and SEC rules related to books and records
• Familiarity with supervision tools, such as exception reporting systems