Client Services-MM - Dispute Resolution Sr Analyst I
Core
Adjudicate customer complaints regarding trading execution, funding, and tax issues to ensure fair, regulatory-compliant outcomes.
Role type
Senior individual contributor dispute resolution analyst (financial services)
Builds
Resolved complaints and trend analysis reports for the Compliance Department
Domain
Financial services / Regulatory compliance
Deliverable
client delivery
Required skills
MIFID regulations, futures/options/CFDs/equities markets, complaints adjudication, Consumer Protection Code, financial services experience
Preferred skills
2+ years complaints handling, 2+ years financial services industry
Technologies
Microsoft Office
Responsibilities
Investigate and adjudicate client complaints on order routing, execution, funding, and tax issues; compose summaries for escalation to Legal or Compliance; compile management information and trend analysis.
Seniority
Senior, hands-on IC