Key skills
Series 7 licenseSeries 24 licenseFinancial services experienceTrade review systemsAnalytical competencyMicrosoft Office skillsSales
About this role
Haystack is a well-established financial services company seeking a skilled Business Analyst to contribute to sound operations and risk mitigation. The role involves performing trade review and surveillance, collaborating with departments on corrective actions, and monitoring compliance trends.
Responsibilities:
- Perform delegated trade review and surveillance to identify potential risks and non-compliance issues
- Collaborate with various departments to develop corrective action plans
- Monitor and communicate surveillance and sales practice trends to management
- Partner with Compliance and other business units on regulatory matters
- Maintain current knowledge of firm policies and the regulatory environment
- Contribute to ad hoc projects and reviews as assigned
Requirements:
- Series 7 and 24 licenses (required at time of application)
- 3+ years of experience in the financial services industry
- High School Diploma or equivalent
- Knowledge of trade review systems and strong computer skills
- Strong analytical competency and sound decision-making abilities
- Superior Microsoft Office skills (Outlook, Excel, PowerPoint, Word)