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Regulatory Compliance Specialist Financial Services

Trade Surveillance Compliance Analyst

Job in Lenexa, Johnson County, Kansas, 66215, USA
Listing for: Advisors Excel
Full Time position
Listed on 2026-02-11
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Financial Services
Salary/Wage Range or Industry Benchmark: 50000 - 70000 USD Yearly USD 50000.00 70000.00 YEAR
Job Description & How to Apply Below
A financial services firm is seeking a Compliance Associate to support compliance and surveillance programs by monitoring advisor trading activities. You will work closely with the Compliance team, reviewing trading alerts and exception reports, and ensure adherence to regulatory requirements. The position requires strong analytical skills, a degree in a related field, and proficiency with tools like Excel and Power BI.

This role offers growth in a collaborative environment with excellent benefits.
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