Senior Trade Review Officer, Brokerage Compliance

A financial institution in Cleveland is seeking a compliance professional to conduct trade reviews and ensure adherence to regulations. The ideal candidate will have a degree in Finance or a related field, with at least three years of experience in the securities industry. Responsibilities include providing principal review, communicating with registered representatives, and maintaining product knowledge. Required qualifications include Series 7, Series 63 & 65 or 66, and a state insurance license. This role demands strong analytical and communication skills. #J-18808-Ljbffr