Financial Compliance Analyst

San Antonio, TX 78216

Posted: 08/09/2019 Industry: Financial Services Job Number: 16505

Responsibilities:
  • 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.

Qualifications:
  • 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.

Amber Gresham

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