Trade Surveillance Analyst | Financial Services | NYC

Job Title: Trade Surveillance Analyst | Financial Services | NYC
Contract Type: Permanent
Location: New York, USA
Salary: US$80000.00 - US$90000.00 per year + Bonus
Start Date: ASAP
Reference: BBBH21166_1553549772
Contact Name: Jack McManus
Contact Email:
Job Published: March 25, 2019 21:36

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.

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