Regulatory Compliance Surveillance Analyst

Benjamin F. Edwards; St. Louis, Northern (MO, KY); Hybride; USD 85 000 - 115 000; Plein temps

Avantages offerts par ce poste

Health insurance

Dental insurance

Vision insurance

401(k) plan

Life insurance

Disability insurance

Paid time off

Résumé du poste

Benjamin F. Edwards is seeking a Compliance Surveillance Associate in St. Louis to monitor client accounts and Advisor activity for FINRA/SEC compliance, interpreting policies and procedures across branches.

The role involves investigating suspicious activity, developing preventive controls, and coordinating with Compliance teams to implement new reports and tools. Strong regulatory knowledge and experience with brokerage operations are essential.

Qualifications

• Understanding of SEC and FINRA regulations and firm policies.
• Strong regulatory, product, and brokerage knowledge, especially mutual funds and annuities.
• Familiarity with automated supervision and surveillance systems.
• Ability to manage multiple tasks while meeting deadlines.

Responsabilités

• Monitor client accounts and Advisor activity for regulatory compliance.
• Interpret policies and regulations with branch locations as main contact.
• Investigate suspicious activity and recommend corrective actions.
• Develop prevention controls and new compliance reports and tools.
• Draft communications to brokers and clients addressing compliance matters.
• Provide regulatory subject matter expertise and updates to management.

Connaissances

Regulatory knowledge

Brokerage knowledge

Analytical skills

Strong communication

Formation

BS in Business/Finance

Outils

Microsoft Office Suite

Description du poste

Benjamin F. Edwards is seeking a Compliance Surveillance Associate in St. Louis to monitor client accounts and Advisor activity for FINRA/SEC compliance, interpreting policies and procedures across branches.

The role involves investigating suspicious activity, developing preventive controls, and coordinating with Compliance teams to implement new reports and tools. Strong regulatory knowledge and experience with brokerage operations are essential.