Senior Compliance Analyst

Conduct surveillance and review investment transactions for compliance with industry regulations and firm policies. Investigate and resolve compliance violations, escalate concerns, and assist with other compliance functions. FINRA Series 7 & 24,..

• Date Posted:

  6/11/2024 

• Remote Work Level:

  100% Remote

• Location:

  Houston, TX, San Diego, CA, Syracuse, NY, or US National

  

• Job Type:

  Employee

• Job Schedule:

  Full-Time

• Career Level:

  Experienced

• Travel Required:

  No specification

• Categories:

  Accounting & Finance

• Company:

  Company details here

• Benefits:

  Company Benefits here

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