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Broker Dealer Compliance Analyst
- Broker Dealer Compliance Analyst
- Large Global Bank
About Our Client
Large Global Bank based in Midtown Manhattan.
The incumbent would be responsible for making sure the bank is within compliance in regards to AML, OFAC, 15a-6, conflict of interests, and monitoring trading.
The Successful Applicant
- Knowledge of SEC and FINRA Regulations.
- 2-5 years of Broker Dealer experience.
- Series 7, must be obtained while on job, if not already had.
- College Degree
What's on Offer
Competitive Base Salary + Bonus