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Compliance Analyst - Full-time / Part-time
•30 days ago
| Hours | Full-time, Part-time |
|---|---|
| Location | Fort Mill, SC Fort Mill, South Carolina |
About this job
Compliance Analyst Randstad Professionals is looking for a Compliance Analyst. Compliance Analyst Job Duties Daily support activities as well as ad-hoc projects Perform daily and periodic Surveillance of trading activity and other activities of Financial Advisors Ensure that Financial Advisors are meeting the standards and requirements set by regulatory agencies and the company Act proactively to identify potential issues and lead investigations of questionable sales activity Manage and prioritize multiple tasks and work in a fast-paced, team environment Prepare draft reports for review Job Requirements 2+ years industry experience Annuity experience required Series 7, 9 and 10 or 24, 63