Junior Analyst – Compliance and Operations

📋 Description

• Review trade surveillance alerts and escalate issues to stakeholders.
• Process and investigate personal account dealing and outside business activities.
• Maintain periodic watch and restricted list reporting across cycles.
• Support regulatory compliance testing and assist with FINRA registration/exams.
• Contribute to policy and procedure reviews and updates.

🎯 Requirements

• 0–1 year of experience in financial services, compliance, or operations
• Associate or bachelor’s degree preferred
• Strong written and verbal communication to engage stakeholders
• Analytical thinking and sound judgment in risk/compliance issues
• Ability to manage priorities and meet deadlines in fast-paced env

🎁 Benefits

• Medical, dental, and vision insurance
• 401(k) plan with employer contributions
• Tuition reimbursement and continuous learning support
• Generous paid time off and holiday allowance
• Employee wellbeing programs and support resources