Job Details

A company is looking for a Suitability Analyst, Broker/Dealer to provide centralized supervision of registered representatives' securities transactions.Key ResponsibilitiesReview and approve client account documentation and trading activityConduct suitability reviews of customer trading activity to ensure compliance with regulationsAnalyze trade reports and assist in onboarding new registered representativesRequired QualificationsBachelor's degree in business, Finance, or 8 years of relevant experience in the financial services industry5-10 years of compliance experience within investments/financial servicesFINRA Series 4, 7, 24, 53 requiredSeries 63 and 65/66 Registration within 90 days of positionKnowledge of SEC, FINRA, and state insurance rules and regulations