Surveillance Analyst

The Analyst will assist the firm in mitigating risk conditions related to client accounts and financial advisor activities within the Surveillance team, ensuring compliance with industry regulations and company policies.

Location: Remote

Responsibilities

• Meet predetermined goals for team and individual assignments based on quality and volume of work.
• Communicate with financial advisors and Managers to resolve and document issues.
• Collaborate with team members and internal staff to develop tools and techniques.
• Assist in completing document requests from FINRA, SEC, state securities boards, and internal auditors or legal department.
• Investigate, document, and escalate regulatory and policy exceptions.
• Maintain thorough documentation suitable for regulatory examination.
• Perform other compliance-related projects and tasks as assigned by the Surveillance Manager.

Requirements

• 3+ years’ experience in financial services, preferably within an RIA and/or Broker-Dealer environment.
• Compliance experience preferred.
• College degree in finance, economics, or business preferred.
• Series 7, 63, and 24 required.
• Series 65 or Series 66 preferred.

Benefits

• Competitive pay and benefits with a large employer.
• 401(k), health insurance, and a competitive benefits package.
• Supportive, collaborative environment committed to professional excellence.
• Opportunities for training, development, and long-term growth.
• Tuition reimbursement for qualified expenses.