Randstad Compliance Analyst in Fort Mill, South Carolina

Compliance Analyst

job details:

  • location:Fort Mill, SC

  • salary:$35 - $38 per hour

  • date posted:Tuesday, March 13, 2018

  • job type:Contract

  • reference:425445

  • questions:704.972.3770.

job description

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 or 66 required

Series 3, 4, 27, and/or 53 a plus

Proficiency with all Microsoft applications, particularly, WORD, ACCESS, PowerPoint, and Excel

Knowledge of FINRA, SEC, and State rules and regulations