State Licensed Surveillance Analyst
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Job Summary
To support compliance efforts, the full-time State Licensed Surveillance Analyst will assist in mitigating risks associated with client accounts and financial advisor activities while working remotely.
Key responsibilities
- Meet predetermined goals for team and individual assignments based on quality and volume of work
- Communicate with financial advisors and management to resolve and document issues
- Assist in completing document requests from regulatory bodies and internal departments
Required qualifications
- 3+ years of experience in financial services, preferably within a Broker-Dealer environment
- Compliance experience preferred
- College degree preferred, preferably in finance, economics, or business
- Series 7, 63, and 24 licenses required; Series 65 or 66 preferred
- Sound understanding of Broker/Dealer and Investment Advisory regulations
Complete Job Description
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