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Waddell & Reed jobs

Viewing 1 - 3 of 3 jobs

  • Compliance Surveillance Analyst

    Waddell and Reed - Overland Park, KS

    Review exception reports, gather supporting documentation, and request suitability information from supervisors to evaluate whether advisor activities comply with regulatory and firm requirements. Based on gathered information,...

    3 days ago from Waddell and Reed

  • Compliance Electronic Communications Surveillance Analyst

    Waddell and Reed - Overland Park, KS

    Basic Job Summary: Assist in the surveillance of financial advisor and firm sales activities through the use of monitoring of e-mail correspondence and social media communications and activity sent and received by financial advisors to...

    6 days ago from Waddell and Reed

  • Sr. Compliance Complaint Specialist

    Waddell and Reed - Overland Park, KS

    Efficiently research and formulate written and verbal responses to client grievances received by Financial Advisors or directly to broker/dealer to diffuse conflict and resolve concerns in a manner that minimizes risk to the broker/dealer...

    20 days ago from Waddell and Reed

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