Advisory Compliance Surveillance Analyst Jobs in Ohio , Employment

Are you looking for an exciting opportunity to join a leading financial services firm as an Advisory Compliance Surveillance Analyst? Our team is seeking a highly motivated individual to help ensure our firm's compliance with regulatory requirements. You will be responsible for monitoring and analyzing trading activity, identifying potential violations, and providing guidance to ensure compliance with applicable laws and regulations. If you are a detail-oriented individual with a passion for compliance, this is the perfect job for you!

Overview Advisory Compliance Surveillance Analysts are responsible for monitoring and analyzing financial markets and transactions to ensure compliance with applicable laws and regulations. They are responsible for identifying and reporting any suspicious activity or potential violations of regulations. They also provide advice and guidance to clients and other stakeholders on compliance matters. Detailed Job Description Advisory Compliance Surveillance Analysts are responsible for monitoring and analyzing financial markets and transactions to ensure compliance with applicable laws and regulations. They review and analyze customer accounts, transactions, and other financial data to identify any suspicious activity or potential violations of regulations. They also provide advice and guidance to clients and other stakeholders on compliance matters. They may also be responsible for developing and implementing compliance policies and procedures. Job Skills Required

• Knowledge of financial markets and regulations

• Analytical and problem-solving skills

• Attention to detail

• Excellent communication and interpersonal skills

• Ability to work independently and as part of a team

• Proficiency in Microsoft Office Suite

Job Qualifications

• Bachelor’s degree in finance, accounting, economics, or a related field

• Professional certification in compliance, such as Certified Regulatory Compliance Professional (CRCP)

• Previous experience in a compliance or regulatory role

Job Knowledge

• Knowledge of financial markets and regulations

• Knowledge of compliance policies and procedures

• Knowledge of financial analysis and reporting

• Knowledge of risk management principles

Job Experience

• Previous experience in a compliance or regulatory role

• Previous experience in financial analysis and reporting

• Previous experience in risk management

Job Responsibilities

• Monitor and analyze financial markets and transactions to ensure compliance with applicable laws and regulations

• Review and analyze customer accounts, transactions, and other financial data to identify any suspicious activity or potential violations of regulations

• Provide advice and guidance to clients and other stakeholders on compliance matters

• Develop and implement compliance policies and procedures

• Prepare reports and presentations on compliance matters

• Monitor changes in laws and regulations and ensure compliance

• Maintain records of compliance activities and investigations