MSWM Compliance Surveillance Analyst

Position Description

The MSSB Regional Surveillance Analyst performs oversight of the Firm's retail business. This is accomplished through the review of specialized exception reports, alerts, and reviews of branches' actions on certain issues. The Regional Surveillance Analysts are responsible for the surveillance and oversight of: Mutual Funds, Options, Insurance Products, Structured Investments, Active Accounts and FA trending.

Skills Required

Bachelors Degree
1-3 years relevant work experience
Possess a basic understanding of the financial services industry
Strong interpersonal skills
Excellent organizational skills, ability to manage multiple tasks and meet assigned deadlines
Detail oriented and meticulous
Strong Microsoft Office skills
Strong oral and written communication skills

Skills Desired

Project management experience

May 29, 2013 • Tags: , • Posted in: Financial

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