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.