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[ Surveillance Analyst - FINRA 7 and 63 Required ] Job Information
Company NEXT Financial Group, Inc. Department Compliance
Category Compliance Job Type Full-Time Perm.
Job Status Sourcing Salary Range NA
Minimum Education University Degree Title
Minimum Experience No of Jobs 1
Duration Start Publishing 01/30/2018
Stop Publishing 02/28/2018 Country United States
State Texas City Houston 77042
Description

Position Overview

 

NEXT Financial Group, Inc., an award-winning independent broker-dealer, has an exciting opening as a full-time Surveillance Analyst. This individual will utilize their expertise to conduct surveillance of NEXT’s associated persons and employees to ensure compliance with relevant securities regulations. 

 

Build a career and develop your skills in an encouraging environment with large opportunities for growth and competitive company benefits. The candidate should be a self-starter who works effectively with minimal supervision. Become a part of an established firm whose culture focuses on empowering home office staff to achieve their goals with the support of fellow coworkers, who are more like family.

 

 

Position Content

                                                                                                                                                                                                                                                                                                                                                        

1)    Review, create and document surveillance reports to detect trading irregularities, suspicious activities and unusual trading patterns that require further investigation.

2)    Conduct reviews of associated persons’ incoming and outgoing email correspondence, noting items for further attention and conducting inquiries.

3)    Investigate activities of associated persons under the direction of the Surveillance Supervisor, Compliance Director and Chief Compliance Officer.

4)    Assist in answering compliance-related inquiries.

5)    Perform projects and tasks as assigned. 

Qualifications

Knowledge & Skills Desired

  • Bachelor’s degree or equivalent work experience;

  • A minimum of 2 years of industry experience;

  • FINRA Series 7 and 63 licenses required;

  • Strong analytical skills with propensity to follow-up;

  • Exceptional interpersonal, verbal and written communication abilities;

  • Ability to organize, prioritize and address multiple projects; and

  • A solid understanding of Excel and all other Microsoft Office applications.

     

Preferred Skills
Posted 01/30/2018 15:51:03