The Sec & Derivat Intmd Assoc Analyst is an entry level position responsible with enforcing the margin and credit regulations set by various regulatory bodies, including but not limited to the Federal Reserve Board, Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commission (SEC) alongside the Firm's internal requirements. As a Margin Analyst, you will play a crucial role in monitoring and managing margin exceptions that arise during daily client trading activities. Additionally, you will provide exceptional customer service to various business lines by addressing regulatory and margin-related inquiries. This position plays a critical role in governing operational processes, ensuring regulatory adherence, supporting strategic platform development, and facilitating safe, scalable client growth.
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
Job Type
Full-time
Career Level
Entry Level