Financial Compliance Analyst
San Antonio, TX 78216
- Monitors and reviews daily activity reports for short term trade activity or late trading to ensure compliance with the firm and industry standards.
- Review marketing materials for compliance with applicable rules and regulations.
- Perform compliance monitoring and testing.
- Investment trade experience.
- Exposure to and/or experience with investment compliance monitoring preferred.
- Superb work ethic, attention to detail, team orientation, collaborative disposition, and commitment to excellence.
- Strong analytic and problem-solving skills.