Compliance Surveillance Analyst
Company: VirtualVocations
Location: Oceanside
Posted on: October 12, 2024
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Job Description:
A company is looking for a Compliance Surveillance Analyst to
conduct monitoring and testing across various lines of business and
functions.
Key Responsibilities:
Conduct general trade surveillance reviews focusing on sales
practice exceptions
Analyze exception report data for trends and assist with
compliance-related inquiries
Perform ongoing monitoring of sales practices, operations, and
trading functions
Required Qualifications, Training, and Education:
Bachelor's degree or 2+ years of compliance experience
2+ years of financial services experience
FINRA Series 7, 24, and 63 (or 65) licenses required or ability to
acquire in 6 months
Experience in compliance monitoring and testing functions
Ability to work collaboratively within a team environment
Keywords: VirtualVocations, Newport Beach , Compliance Surveillance Analyst, Professions , Oceanside, California
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