Regulatory Compliance Surveillance Analyst

Posted 2 days ago

benjamin f edwardsBrooklyn (NY)

Compliance Managers Investment Banking and Securities Intermediation

SENIORITY

Mid

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About the role

Benjamin F. Edwards is seeking a Compliance Surveillance Associate in St. Louis to monitor client accounts and Advisor activity for FINRA/SEC compliance, interpreting policies and procedures across branches. The role involves investigating suspicious activity, developing preventive controls, and coordinating with Compliance teams to implement new reports and tools. Strong regulatory knowledge and experience with brokerage operations are essential.

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