Regulatory Compliance Surveillance Analyst
Listed on 2026-10-18
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Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
Benjamin
F. Edwards is seeking a Compliance Surveillance Associate in St. Louis to monitor client accounts and Advisor activity for FINRA/SEC compliance, interpreting policies and procedures across branches.
The role involves investigating suspicious activity, developing preventive controls, and coordinating with Compliance teams to implement new reports and tools. Strong regulatory knowledge and experience with brokerage operations are essential.
As a Regulatory Compliance Surveillance Analyst, you will play an important part at Benjamin
F. Edwards in St. Louis, MO, United States.
This opportunity is part of our work in Legal, Management & Operations.
The advertised compensation is 85..
We aim to respond to suitable candidates as soon as possible.
Full responsibilities and requirements are described in the listing above.
Learn more about the Regulatory Compliance Surveillance Analyst role in the description above.
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