Senior Trade Review Officer, Brokerage Compliance

A regional banking institution is seeking a Compliance Officer to conduct trade reviews and ensure adherence to firm policies and regulatory requirements. The ideal candidate will have a strong background in the securities industry, with at least three years of relevant experience. Responsibilities include providing Principal Review on various financial products and guiding registered representatives through compliance-related issues. Candidates must possess strong analytical and communication skills, and hold relevant securities licenses. #J-18808-Ljbffr