Broker-Dealer Surveillance Analyst
The Rosenthal Consulting GroupNew York, New York, United States
Posted February 11, 2016
Full Time
About the Company
U.S. Based Financial Services Company. Offices in major U.S. Cities.
Job Description
Seeking a Broker-Dealer Surveillance Analyst to join a growing team in the New York area. The ideal candidate will have a college degree, 3+ years of compliance experience, and strong analysis and communication skills.
Requirements
- College degree
- Minimum of 3 years in a Broker-Dealer compliance officer position
- Series 7; 24, 55 licenses preferred not required
- Experience Identifying Know Your Customer (KYC), Client Suitability issues
- Strong analysis, problem solving and decision making skills
- Excellent communication skills and attention to detail
- Intermediate to superior computer / technology skills particularly all major Microsoft Office brand software
Benefits
- Competitive salary
- Benefits package
- Annual Bonus potential
