Compliance Analyst – Surveillance
| Company | Integrity |
|---|---|
| Location | Grimes, IA, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Junior, Mid Level |
Requirements
- 2+ years of experience in Compliance or functions of a financial services firm/regulator.
- Minimum of high school diploma or equivalent is required.
- Must have a valid driver’s license.
- FINRA Series 7 and 24 required. Candidates without proper licensing must obtain within 6 months of employment.
- Proficiency in MS Office.
- Strong verbal and written communications skills required.
Responsibilities
- Conduct ongoing surveillance of firm’s representatives’ activities, client accounts, and transactions to ensure adherence to firm policy and regulatory standards.
- Properly document the review and disposition of exceptions as well as escalating matters appropriately.
- Identify compliance risks and collaborate with appropriate internal and external stakeholders to develop action plans and achieve risk mitigation and/or issue resolution.
- Lead and perform targeted reviews and/or analysis and present findings to the appropriate stakeholders.
- Assist with the design and implementation of new surveillance systems and programs and adjustments to the existing clients.
- Analyze trade and account alerts and escalate findings as necessary. Examine exception reports to identify any trends and patterns or risk areas.
Preferred Qualifications
- Experience with an Independent Broker-Dealer is a plus.
- FINRA Series 63 and/or 66 is preferred.