Broker-Dealer Compliance & Surveillance Analyst (NY) — Bonus Potential

Rosenthal Recruiting; New York (NY); Presencial; USD 85.000 - 110.000; Tempo integral

Benefícios oferecidos por esta vaga

Annual bonus potential

Comprehensive benefits package

Resumo da vaga

Rosenthal Recruiting is seeking a Broker-Dealer Surveillance Analyst in New York. This full-time permanent position entails monitoring regulatory compliance and ensuring adherence to policies.

Ideal candidates will have a relevant college degree and 3+ years in a compliance role. Responsibilities also include designing monitoring reports and substantial communication within teams. A competitive salary and benefits package is offered, along with annual bonus potential.

Qualificações

• Minimum of 3 years in a Broker-Dealer compliance officer position.
• Preferred experience as a Capital Markets Compliance Officer.
• Series 7, 24, 55 licenses preferred but not required.

Responsabilidades

• Monitor adherence to regulatory rules with emphasis on KYC and Client Suitability.
• Ensure compliance with policies and procedures.
• Design and test monitoring reports of trading and sales activity.

Conhecimentos

Strong analysis skills

Problem solving skills

Excellent communication skills

Attention to detail

Intermediate to superior computer skills

Formação

College degree

Ferramentas

Microsoft Office

Descrição da vaga

Rosenthal Recruiting is seeking a Broker-Dealer Surveillance Analyst in New York. This full-time permanent position entails monitoring regulatory compliance and ensuring adherence to policies.

Ideal candidates will have a relevant college degree and 3+ years in a compliance role. Responsibilities also include designing monitoring reports and substantial communication within teams. A competitive salary and benefits package is offered, along with annual bonus potential.