Broker-Dealer Surveillance Analyst

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

Broker - Dealer, FINRA Member. U.S. Based Financial Services Company. Offices in major U.S. Cities.

Job Description

Currently seeking a Broker-Dealer Surveillance Analyst to join a growing team in the New York area. The ideal candidate will preferably hold a college degree and possess a minimum of 3 years in a Broker-Dealer compliance officer position, preferably as a Capital Markets Compliance Officer or with regulatory experience in surveillance.

• Monitor for adherence with Trading and Sales related regulatory rules with an emphasis on Know Your Customer (KYC) and Client Suitability.
• Ensure Financial Advisors, Branch Managers, other Personnel, including Registered Representatives are following policies, procedures, rules and regulations.
• Regular/constant communication with business and support groups.
• Design, develop and test monitoring reports of company trading and sales activity.
• Understand and apply company policies, laws, broker/dealer industry rules of regulators such as FINRA and the Securities Exchange Commission (SEC).

Qualifications

• College degree – preferred.
• Minimum of 3 years in a Broker-Dealer compliance officer position, preferably as a Capital Markets Compliance Officer or with regulatory experience in surveillance.
• Series 7, 24, 55 licenses preferred (not required).
• Experience identifying Know Your Customer (KYC) and Client Suitability issues.
• Strong analysis, problem solving and decision‑making skills.
• Excellent communication skills and attention to detail.
• Intermediate to superior computer/technology skills, particularly in all major Microsoft Office brand software.

Additional Information

This is a full‑time permanent position. In addition to salary, the position will offer benefits that are available to all Company employees.

Competitive salary and benefits package. Annual Bonus potential.