Senior Trade Review Officer, Brokerage Compliance

A financial services provider in Ohio is seeking a compliance specialist to conduct trade reviews and ensure adherence to industry regulations. The ideal candidate will have a strong compliance background with a minimum of three years in the securities industry, excellent analytical skills, and proficiency in relevant software. Responsibilities include reviewing transactions, interacting with registered representatives, and providing guidance on regulatory concerns. This role requires several specific certifications including Series 7 and state insurance licenses. #J-18808-Ljbffr