Brokerage Trade Review & Compliance Specialist

A financial institution in Cincinnati is seeking a candidate responsible for conducting trade reviews and ensuring compliance with regulatory policies. The role demands strong analytical skills and a minimum of three years of experience in the securities industry. Key responsibilities include evaluating products, guiding registered representatives, and maintaining product knowledge. Required certifications include Series 7, 63, and either 65 or 66. Proficiency in Word, Excel, and Outlook is essential. This position offers the opportunity to work independently with minimal supervision. #J-18808-Ljbffr