Compliance Specialist
MANUFACTURERS AND TRADERS TRUST COMPANY(1 month ago)
About this role
The Compliance Analyst at M&T Securities supports the firm's broker-dealer compliance program, promoting ethical conduct and adherence to securities regulations. The role works across core compliance areas—such as regulatory filings, surveillance, training, and responses to inquiries—while partnering with business, legal, and risk teams. Based in Boston, the position assists management and serves as a trusted advisor to help protect the firm and its clients.
Required Skills
- Surveillance
- Policy Drafting
- Regulatory Research
- Risk Assessment
- Training
- Relationship Building
- Communication
- Organization
- Analytical Skills
- Investigations
Qualifications
- Bachelor's Degree
- SIE
- Series 7
About MANUFACTURERS AND TRADERS TRUST COMPANY
mandtbank.comN/A
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