EI
Monitoring Analyst – Series 7
Expert In Recruitment Solutions
- 🇺🇸 United States
- On-site
- 13 hours ago
- Series 7
- Regulatory Compliance
13 hours ago
Not enough detail in this posting to match
Location: Remote
Duration: 12-Month Contract
Experience Range: 3-6 years
NOTE FOR RECRUITER:
Need candidates who currently hold an active, non-expired Series 7 and are eligible to register with the client. They can work as independent contractors and would be considered "associated persons” of the client for registration purposes.
Our client is seeking a Monitoring Analyst – Series 7 to monitor trading activity and identify suspicious transactions in a 24/7 broker-dealer and alternative trading systems environment. This role is critical to maintaining regulatory compliance and detecting potential market abuse or misconduct.
Responsibilities & Qualifications
Monitor real-time trading activity across broker-dealer and ATS platforms to identify unusual or suspicious transactions
Investigate trading alerts and escalate potential regulatory or compliance concerns to appropriate teams
Document investigation findings and support compliance reporting requirements
Maintain awareness of trading patterns and market activity to detect potential violations or anomalies
Collaborate with compliance and trading teams to resolve identified issues
Work assigned overnight shifts and weekend schedules in a 24/7 monitoring operation
Stay current with regulatory updates and industry best practices in trade surveillance
Requirements
Client Series 7 license (required; active and in good standing)
3–6 years of experience in trade surveillance, transaction monitoring, or broker-dealer compliance
Demonstrated expertise in investigating trading alerts and identifying suspicious activity
Strong knowledge of alternative trading systems (ATS) and electronic trading platforms
Solid understanding of broker-dealer compliance regulations and reporting obligations
Excellent attention to detail and ability to document findings clearly and accurately
Ability to work independently during night shifts and weekend schedules with minimal supervision
Monitoring Analyst – Series 7 · Expert In Recruitment Solutions