Trade Surveillance Analyst

Description

Our client is hiring multiple Trade Surveillance Analysts to conduct ongoing reviews and ensure the firm and all associates are adhering to regulations and limiting firm liability. This role will include the review of employee personal trading activities as well as account holder familial/beneficiary relationships in order to detect and prevent possible employee conflicts of interest.

Primary Duties/Responsibilities:

-Execute the supervision plan for transitioning financial advisors and other staff members to our client including continuous monitoring of conflicts of interest and outside activities.

-Proactively ensure compliance with applicable industry rules (State, FINRA, SEC) and platform policies/procedures as they apply to transitioning financial advisors and other staff.

-Interface with sales management associates to inform them of supervisory concerns that may arise and work with them to address these concerns and resolve any conflicts that may arise

-Monitor and keep up to date with securities/advisory regulations and apply them accordingly

Skills

Surveillance, Supervision, Capital market, Securities, Brokerage, Equity securities, Trade compliance

Top Skills Details

Surveillance,Supervision

Additional Skills & Qualifications:

-Bachelors Degree preferred

Experience Level

Intermediate Level

About TEKsystems:

We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.

The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.