Broker-Dealer Surveillance Analyst
Rosenthal Recruiting
About this role
A Broker-Dealer Surveillance Analyst is responsible for monitoring compliance with trading and sales regulatory rules, ensuring adherence to policies and regulations, and designing monitoring reports. The role involves regulatory understanding, communication with support teams, and analysis of client activities.
Skills
About Rosenthal Recruiting
rosenthalrecruiting.comRosenthal Recruiting is a boutique recruiting and staffing firm that connects companies with qualified professionals across a range of industries and functional roles. They offer services such as executive search, direct placement, contract staffing, and thorough candidate screening with an emphasis on cultural fit and long-term retention. Rosenthal also advises candidates on career strategy and interview preparation, leveraging a curated network and personalized approach. Clients rely on the firm for attentive service, fast turnaround, and vetted talent tailored to organizational needs.
About Rosenthal Recruiting
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
Leadership Team
Sarah Johnson
Chief Executive Officer
Michael Chen
Chief Technology Officer
Emily Williams
VP of Engineering
David Rodriguez
VP of Product
Jessica Thompson
Chief Financial Officer
Andrew Park
VP of Sales
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Salary
$60k – $80k
per year