Bring your expertise to regulatory oversight as a Principal Review Analyst, ensuring compliance with FINRA and SEC standards while performing critical account and trade reviews for a dynamic wealth management team.

Help us ensure regulatory compliance and enhance workflows by reviewing trade activities, new accounts, and reporting within wealth management. Collaborate with teams, influence process improvements, and maintain high standards of conduct.

Advance your career by ensuring regulatory compliance as you review and approve accounts, manage trade assessments, and enhance operational workflows in a dynamic wealth management environment. Engage closely with compliance and supervision teams.

Manage regulatory oversight and trade reviews for investment advisory services, ensuring compliance with FINRA and SEC regulations. Collaborate with various teams to enhance processes and maintain centralized controls for optimal performance.

Shape the future of operational excellence by leading a skilled team to streamline processes, enhance customer experiences, and manage complex transactions to achieve high performance and compliance in a dynamic banking environment.