Senior Compliance & Surveillance Analyst

Novon Consulting; Minneapolis (MN); On-site; USD 80,000 - 100,000; Full time

Job summary

A consulting firm located in Minneapolis is seeking a Compliance Professional with a minimum of 3 years of Supervisory experience. Responsibilities include assisting in regulatory initiatives, performing trading surveillance, and leading Continuing Education programs. Ideal candidates should possess licenses such as SIE, Series 7, Series 63, and Series 24. Proficiency in compliance matters is essential, and experience in Equity Sales or Investment Banking is a plus.

Qualifications

• Minimum of 3 years Compliance/Supervisory experience required.
• Experience in Equity Sales and Trading, Institutional Brokerage, or Investment Banking preferred.

Responsibilities

• Assist CCO with review and implementation of regulatory initiatives.
• Perform email/ecomm reviews and trading surveillance functions.
• Assist with administration of Continuing Education programs.

Skills

Compliance/Supervisory experience

Trading surveillance

Communication skills

Job description

• Licenses SIE, Series 7TO, Series 63, Series 24 (Series 16, 86/87, 57 also a plus but not required)
• Experience minimum of 3 years Compliance/Supervisory experience.
• Someone with applicable experience in other parts of the business Equity Sales and Trading, Institutional Brokerage, Equity Research, Investment Banking (some but not all are necessary would need to be able to get up to speed fairly quickly on unfamiliar territory).
• Job Duties
  • Assist CCO with review and implementation of regulatory initiatives, review and interpret rules and guidance, documentation of policies and procedures
  • Assist with daily, weekly, monthly, annual and ongoing reviews and surveillance functions
  • Perform email/ecomm reviews
  • Trading surveillance, CAT/CAIS reviews/reconciliation, Best Ex reviews
  • Assist with administration of Continuing Education, develop training content/administer training
  • Perform Branch Office audits
  • Work with FinTech vendors for onboarding and maintenance of surveillance/data assurance programs
  • Responsible for AML/CIP/KYC Programs ideally would like to hand over the AML CCO title to someone else
  • Attend conferences and industry meetings
  • Assist with Research oversight as needed work with Research Technology vendor on Compliance programs
  • Assist with response to regulatory inquiries and regulatory audits/exams become proficient on regulatory/legal affairs
  • Assist with internal audits, 3120 testing