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

Rosenthal Recruiting; New York (NY); On-site; USD 85,000 - 110,000; Full time

Benefits offered by this job

Annual bonus potential

Comprehensive benefits package

Job summary

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.

Qualifications

• 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.

Responsibilities

• 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.

Skills

Strong analysis skills

Problem solving skills

Excellent communication skills

Attention to detail

Intermediate to superior computer skills

Education

College degree

Tools

Microsoft Office

Job description

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.