Choice Compliance Surveillance Analyst -
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Waddell & Reed, Inc. -
Overland Park, KS
Conduct surveillance of Choice financial advisors and firm securities sales and investment advisory activities, primarily executed through the Pershing, through the use of exception reports and other resources to identify and resolve compliance and regulatory issues. Provide guidance and training to advisor, FAD OSJ, Managing Principal, and RVPs regarding compliance policies and procedures and regulatory rules and policies. Responsibilities 1. Review exception reports, gather supporting document
From Waddell & Reed, Inc. -
30+ days ago
Choice Compliance Surveillance Analyst jobs in Overland Park, KS
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Compliance Surveillance Analyst
Waddell & Reed, Inc. - Overland Park, KSConduct surveillance of Choice financial advisors and firm securities... to identify and resolve compliance and regulatory issues. Provide guidance...From Waddell & Reed, Inc. - today - save job more...
Waddell & Reed, Inc. jobs
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Senior Specialist WRAP
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