Compliance Surveillance Analyst Job in New York, New York Us

Our client, a prominent wealth management and investment advisory firm, seeks a Compliance Surveillance Analyst.  Qualified candidates must have Reg 9 experience, experience with Trust Banking and Banking Regulations and have gone through testing for examiners.    Responsibilities to include working with management to complete the detailed annual examination associated with the review of client trust accounts throughout the various regions; assisting with client account reviews and draft report results for review by Chief Compliance Officer; assisting in all Read more […]

November 18, 2009 • Tags: , • Posted in: General • Comments Off on Compliance Surveillance Analyst Job in New York, New York Us