Securities Analyst jobs in Vermont

Securities Analyst conducts research on organizations within a specific industry in order to make recommendations regarding investment strategy. Stays abreast of trends and news within an industry, such as filings, mergers and acquisitions, competitive position, and financial stability of organizations. Being a Securities Analyst requires a bachelor's degree or in a related area. Typically reports to a manager or head of a unit/department. To be a Securities Analyst typically requires 4 to 7 years of related experience. Contributes to moderately complex aspects of a project. Work is generally independent and collaborative in nature. (Copyright 2024 Salary.com)

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Securities Supervisor
  • The Vermont Agency
  • Colchester, VT FULL_TIME
  • Company Overview:
    The Vermont Agency is a leading financial services firm dedicated to providing top-tier protection, investment and wealth management solutions to our clients. With a commitment to excellence and integrity, we dramatically impact the lives of others.

    Position Overview:
    We are currently seeking a dynamic and experienced Securities Supervisor to join our team. The Securities Supervisor will play a pivotal role in overseeing and managing the compliance and regulatory functions related to securities trading activities within the firm. The successful candidate will have a deep understanding of securities regulations and a proactive approach to risk management.

    Responsibilities:

    • Oversee and manage all aspects of securities trading activities, ensuring compliance with regulatory requirements and internal policies.
    • Suitability, Blotter and Correspondence Review.
    • NIGO Abatement.
    • Enforce effective compliance programs, policies, and procedures to mitigate risks associated with securities trading.
    • Conduct regular detached office audits and reviews to assess compliance with securities regulations and internal controls.
    • Serve as a point of contact for regulatory inquiries and examinations, liaising with regulatory agencies as needed.
    • Monitor changes in securities regulations and industry trends, and advise senior management on potential impacts to the firm.
    • Collaborate with other departments to address compliance issues and implement solutions.

    Additional Responsibilities include:

    • Equities Book of Business Reporting and Opportunity Analysis.
    • Business Transition for Experienced Registered Representatives.
    • Business Succession.

    Qualifications:

    • Series 6 or 7, Series 66 or 65 and Series 24 licenses.
    • Bachelor's degree in finance, business administration, or a related field; advanced degree or professional certification (e.g., CFA, CPA, CSCP) preferred.
    • Minimum of 2 years of experience in securities compliance or regulatory affairs within the financial services industry, with a demonstrated track record of success in a supervisory role.
    • Strong knowledge of securities regulations, including but not limited to SEC, FINRA, and state regulatory requirements.
    • Excellent analytical, problem-solving, and decision-making skills, with the ability to interpret complex regulations and apply them to practical situations.
    • Exceptional communication and interpersonal skills, with the ability to effectively interact with individuals at all levels of the organization.
    • High level of integrity and professionalism, with a commitment to upholding ethical standards and promoting a culture of compliance.

    Benefits:
    The Vermont Agency offers a competitive salary and benefits package, including medical/dental/vision insurance, retirement savings plans, and opportunities for professional development and advancement.

    Join our team and be part of a dynamic and innovative organization that is dedicated to helping clients achieve their financial goals and having a dramatic impact in our community.

    Job Type: Full-time

    Pay: $80,000.00 - $180,000.00 per year

    Benefits:

    • Dental insurance
    • Disability insurance
    • Health insurance
    • Retirement plan
    • Vision insurance

    Experience level:

    • 2 years

    Ability to Relocate:

    • Colchester, VT: Relocate before starting work (Required)

    Work Location: In person

  • Just Posted

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Analyst
  • The Vermont Country Store
  • Manchester, VT FULL_TIME
  • The Position The Vermont Country Store is currently seeking an Analyst to join our Merchandising Team. The qualified candidate will support all multi-channel product analysis and assortment planning e...
  • 11 Days Ago

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Program Analyst
  • LANTANA CONSULTING GROUP INC
  • East Thetford, VT FULL_TIME
  • Description:Company: Lantana Consulting Group provides services and software for standards-based health information exchange. We have built our expertise through nearly two decades of development and ...
  • 20 Days Ago

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Benefits Analyst
  • Leddy Group
  • Rutland, VT FULL_TIME
  • A very desirable employer in Rutland, VT is looking for a Benefits Analyst to join the team on a full-time, interim basis! You’ll help make positive contributions to the company’s culture by providing...
  • 21 Days Ago

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Business Analyst
  • LANTANA CONSULTING GROUP INC
  • East Thetford, VT FULL_TIME
  • Description:Company: Lantana Consulting Group provides services and software for standards-based health information exchange. We have built our expertise through nearly two decades of development and ...
  • 23 Days Ago

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Applications Analyst
  • New England Federal Credit Union
  • South Burlington, VT FULL_TIME
  • Position: Applications Analyst Hours: Monday-Friday 8:30 am – 5:00 pm Location: 88 Technology Park Way, S. Burlington, VT Position description: Plans, designs, develops, and launches efficient informa...
  • Just Posted

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Security Analyst
  • City of New York
  • New York, NY
  • Job Description The New York City Department of Transportations (NYC DOT) provides safe, efficient, and environmentally ...
  • 3/28/2024 12:00:00 AM

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Security Analyst
  • Auctane Careers
  • Austin, TX
  • About us At Auctane, we are united by a passion to help sellers - wherever they are, however they operate - fulfill the ...
  • 3/28/2024 12:00:00 AM

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IT Security Analyst
  • Wells Enterprise
  • Le Mars, IA
  • Job Description As an IT professional, evaluates, recommends, and reviews access controls for company owned information ...
  • 3/28/2024 12:00:00 AM

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Security Analyst
  • Marga Consulting LLC
  • Boca Raton, FL
  • The Security Analyst is responsible for assisting with the day-to-day operations of securing the departments various inf...
  • 3/27/2024 12:00:00 AM

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IT Security Analyst
  • Saxon Global
  • Rancho Cucamonga, CA
  • Hi Hope you are doing good. We are looking for IT Security Analyst. This is a full time position. Please check the job d...
  • 3/27/2024 12:00:00 AM

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Security Analyst
  • JMARK
  • Springfield, MO
  • Position Summary: The Security Analyst (SA) will be responsible for monitoring, investigating, correlating, and respondi...
  • 3/26/2024 12:00:00 AM

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Security Analyst
  • Mastech Digital
  • Pittsburgh, PA
  • Title: Security Analyst Location: Hybrid Position ( Pittsburgh, PA ) Duration : 12+ months contract to hire role. Respon...
  • 3/25/2024 12:00:00 AM

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Security Analyst
  • Glocomms
  • New York, NY
  • Security Analyst Manhattan, New York - English speaking (French is a HUGE bonus, but not essential) Hybrid Working in Ma...
  • 3/24/2024 12:00:00 AM

Vermont is located in the New England region of the Northeastern United States and comprises 9,614 square miles (24,900 km2), making it the 45th-largest state. It is the only state that does not have any buildings taller than 124 feet (38 m). Land comprises 9,250 square miles (24,000 km2) and water comprises 365 square miles (950 km2), making it the 43rd-largest in land area and the 47th in water area. In total area, it is larger than El Salvador and smaller than Haiti. It is the only landlocked state in New England, and it is also the easternmost and the smallest in area of all landlocked sta...
Source: Wikipedia (as of 04/11/2019). Read more from Wikipedia
Income Estimation for Securities Analyst jobs
$118,700 to $174,268

Securities Analyst in Terre Haute, IN
In terms of working environment, a securities analyst often works from a home office, although some work onsite in investment banks, insurance companies, and other types of business offices.
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Securities Analyst in Brownsville, TX
Security Analysts often acquire a dizzying array of technical skills and gain plenty of experience in pen testing, intrusion detecting, auditing, and more.
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Securities Analyst in Champaign, IL
IR specialists and analysts interviewed by PRJ confirm that the practice does exist, but they stress that such intimidation tactics are the exception and not the rule.
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