Role details

Broker Dealer Compliance Analyst

New York   •  Permanent

Bullet points

  • Broker Dealer Compliance Analyst
  • Large Global Bank

About Our Client

Large Global Bank based in Midtown Manhattan.

Job Description

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

Apply for this job

Click the Apply or LinkedIn button below or contact Maria Talebian quoting job reference 1211035
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