State Licensed Surveillance Analyst

Job Summary

A company is looking for a Surveillance Analyst.

Key Responsibilities

• Meet predetermined goals for team and individual assignments based on quality and volume of work
• Communicate with financial advisors and management to resolve and document issues
• Assist in completing document requests from regulatory bodies and internal departments

Required Qualifications, Training, and Education

• 3+ years of experience in financial services, preferably in a Broker-Dealer environment
• Compliance experience preferred
• College degree preferred, preferably in finance, economics, or business
• Series 7, 63, and 24 licenses required; Series 65 or 66 preferred