FINRA Senior Surveillance Compliance Analyst

Company: VirtualVocations
Location: Newport News
Posted on: September 16, 2023

Job Description:

A company is looking for a Senior Surveillance Compliance Analyst.
Key Responsibilities:

Train and support new Compliance Analysts
Perform general trade surveillance reviews, focusing on potential sales practice exceptions
Conduct ongoing monitoring of sales practice and supervision, operations, trading, cashiering function, etc

Required Qualifications:

Bachelor's degree or equivalent combination of education and experience
5+ years of financial services experience
2+ years of compliance experience
Series 7, 63, and 24 (or 9 & 10) licenses
Proficient in Excel, Word, Power Point, and Outlook

Keywords: VirtualVocations, Newport News , FINRA Senior Surveillance Compliance Analyst, Professions , Newport News, Virginia

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