Monitoring Analyst – Series 7

Expert In Recruitment Solutions

23 hours ago

Not enough detail in this posting to match

Responsibilities & Qualifications:

Active Client Series 7 license required.
3–5 years of experience in trade surveillance, transaction monitoring, or broker-dealer compliance/operations.
Monitor trading activity, identify unusual or suspicious transactions, and escalate potential regulatory or compliance concerns.
Familiarity with broker-dealer operations, trade lifecycle, market regulations, and surveillance controls.
Experience investigating trading alerts, documenting findings, and supporting compliance reporting.
Prior experience with Alternative Trading Systems (ATS) or electronic trading platforms is highly desirable.

Must be willing and available to work overnight shifts and weekends in a 24/7 operational environment

Monitoring Analyst – Series 7 · Expert In Recruitment Solutions