Sr. Compliance Analyst job in Bismark
Vacancy has expired
Bismark, North Dakota - ND EJ Ashton & Assoc.
| Recruiter: | EJ Ashton & Assoc. |
| Career Interest: | Accounting/Financial |
| Insurance Discipline: | Financial Services |
| Job Type: | Full Time |
| State: | North Dakota - ND |
| City: | Bismark |
| Address: | Bismarck, ND, USA (Show on map) |
|
Reviews activities of registered representatives to identify and prevent potential regulatory violations. Monitors and evaluates processes and procedures to improve efficiency. May assist less experienced analysts with complex or escalated issues. Perform daily and periodical oversight and analysis of trading activity and other activities of registered representatives.Reviews exception reports for patterns of sales practice issues or violations of FINRA and firm regulations. Position requires a BS degree and 2 to 4 years experience. Series 7, 63 and 24 are required. | |
| Salary: | $60,000 - $80,000 |
| Bonus/Benefits: | yes |
| Post Date: | 06/07/2017 |
2506 days ago
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