- TEKsystems (San Diego, CA)
- This position is responsible for supporting advisory compliance and surveillance functions as required by FINRA, SEC, and state securities regulations. This ... of advisory exception reports. * Conducts ongoing advisory surveillance of sales trends. * Assists... of sales trends. * Assists in research of advisory compliance related projects. * Assists in… more
- TEKsystems (San Diego, CA)
- The Compliance Surveillance Analyst will perform the assigned functions, as outlined below, and conduct monitoring and testing across various lines of ... collaboration across the enterprise * Conduct other related tasks to support compliance surveillance , monitoring and testing Qualifications: * Bachelor's degree… more