Trade Surveillance Analyst | Financial Services | NYC

Job Title: Trade Surveillance Analyst | Financial Services | NYC
Contract Type: Permanent
Location: New York, USA
Industry: financial services
Salary: US$80000 - US$90000 per year + Bonus
Start Date: ASAP
REF: BBBH21166_1553549772
Contact Name: Jack McManus
Job Published: 25 days ago

Job Description

Our client, financial services firm, is looking for an analyst level hire to help monitor internal adherence with trading and sales regulatory rules.

The ideal candidate will possess:

  • 5 years Broker-Dealer Compliance experience, Capital Markets Compliance or Regulatory experience
  • The ability to communicate with senior leadership
  • Proficiency in Microsoft Office
  • Experience performing KYC suitability reviews
  • Series 7 is a plus

If interest please respond to this advert.