Advisory Compliance Surveillance Analyst Jobs in Walton, Florida
Compliance Control Advisory, Sr. It Analyst
By National Grid
At , Waltham
$100,000 - $118,000 a year
Surveillance Analyst 2 - Remote
By BankUnited
At , Miami Lakes, 33016, Fl
Vice President Of Compliance Advisory
By Conselium Compliance Search
At United States
Compliance – Surveillance Lead (Equities Trade Surveillance) – Vice President
By JPMorgan Chase & Co
At , Jersey City, 07310
$114,000 - $185,000 a year
Advisory Analyst Jobs
By Kreischer Miller
At Horsham, PA, United States
Analyst, Product Surveillance Jobs
By Intellectt Inc
At Burlington, MA, United States
Full-Time Analyst - Technology Advisory (Menlo Park)
By Evercore
At Menlo Park, CA, United States
Analyst, Financial Advisory Jobs
By ICONIQ Capital
At San Francisco Bay Area, United States
Global Medical Ethics & Compliance Advisory Lead
By BioSpace
At Boston, MA, United States
Risk Surveillance Analyst Jobs
By RBC Wealth Management
At Minneapolis, MN, United States
Category Advisory, Senior Analyst
By Tropicana Brands Group
At United States
Market Surveillance Analyst Jobs
By Coda Search│Staffing
At New York City Metropolitan Area, United States
Analyst - Private Capital Advisory
By Lazard
At New York, United States
Compliance Surveillance Analyst Jobs
By Mizuho Americas
At , New York, Ny
$104,250 - $150,000 a year
Aml Compliance Analyst, Surveillance And Investigations
By Brown Brothers Harriman
At , Utica, Ny
Compliance Analyst-Investment Advisory Jobs
By Voya Financial
At , New York, 10169, Ny
Advisory Compliance Analyst / Surveillance
By Atria Wealth Solutions
At Greater Houston, United States
Head Of Global Markets Compliance Advisory - Americas
By Crédit Agricole CIB
At New York, NY, United States
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
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