Broker-Dealer Compliance Analyst
JCW Group
A leading broker-dealer firm is looking to hire a Compliance Analyst. An ideal candidate will have 1-3 years of experience in a broker-dealer compliance role. This position sits on a small team so will be a compliance generalist. Day to day you will: Assist with surveillance of firm trading activity. Update firm policies and WSPs. Assist with regulatory reporting and exams Stay up to date on regulatory developments. You should apply if you: Have 1-3 years of broker-dealer compliance experience. #J-18808-Ljbffr
Vacancy posted 4 days ago
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