The surveillance analyst position works directly with the Senior Analyst team leader. The role will include post-trade reviews on financial products to identify potential risks and violations of broker-dealer policies.
This role will also include the identification of trends and patterns of the advisor’s trading behavior to mitigate undue risk to the firm.
This is a hybrid role, candidates must be near an office location : El Segundo, CA San Diego, CA Denver, CO Des Moines, IA Schaumburg, IL St Cloud, MN St Paul, MN Atlanta, GA Dallas, TX.
What you will do :
- Complete monthly product reviews accurately and in a timely manner.
- Review advisor trades to detect violations of Broker-Dealer policies.
- Identify trends and patterns of the advisor’s trading behavior.
- Upload completed and final reviews to the imaging system.
- Continue to gain industry and product knowledge by attending conferences and webinars.
- Assist in responding to inquiries from Compliance / Supervision.
- Assist with additional projects.
What you need to have :
- Must have 1-2 years of experience in Compliance, Surveillance and / or Supervision.
- Must be proficient in Excel.
- Must have strong analytical and research skills.
- Strong time management skills and ability to meet deadlines.
- Some knowledge of financial services products such as but not limited to Mutual Funds, Stocks, and Variable Annuities.
- Ability to learn information and concepts quickly and work independently.
- Series 7, 63, and be willing to obtain Series 24.
Compensation :
The base annual salary range for this role is $60,000 to $70,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location.
Base annual salary may also differ significantly due to geography and cost of labor considerations.
LI-Hybrid
Compliance Surveillance Analyst
Key Responsibilities:Conduct general trade surveillance reviews focusing on sales practice exceptionsAnalyze exception report data for trends and assist with compliance-related inquiriesPerform ongoing monitoring of sales practices, operations, and trading functionsRequired Qualifications, Training,...
Compliance Analyst - Surveillance
The surveillance analyst position works directly with the Senior Analyst team leader. Must have 1-2 years of experience in Compliance, Surveillance and/or Supervision. Assist in responding to inquiries from Compliance/Supervision. ...
KYC Compliance Analyst
A company is looking for a KYC Compliance Ops Analyst to support their AML/KYC program. ...
Regulatory Compliance Specialist
Regulatory Compliance Specialist. Cibus has an immediate opening for a Regulatory Compliance Specialist. You will provide regulatory compliance guidance to internal stakeholders and be actively involved in the implementation of processes and procedures to ensure Cibus remains in compliance with appl...
Compliance Specialist V
The Senior Compliance Specialist exercises considerable latitude in performing contract and/or procurement analysis, mentorship and advising to others, to ensure compliance to regulations, contractual requirements and Company policy. We have an exciting opportunity for a Senior Compliance Specialist...
Business Operations and Marketing Analyst
This position will collaborate with Program Teams to form a high performing business operations and development team pursuing and executing business opportunities. Actively participate in the business development process, update company business development database and produce related management re...
Senior Technical Business Analyst
Senior Technical Business Analyst. Our San Diego team is seeking an accomplished Senior Technical Business Analyst to join our team in supporting multiple software products and brands across the organization, such as www. Included in the S&P 500 Index and the NASDAQ 100, CoStar Group is on a mis...
Project Manager
Builds relationships with internal team members (Project Managers, Project Engineers, Accounting team, Estimators) & develops an understanding of the roles/responsibilities of other departments within the project process. Our core values: Integrity – our word is our bond, and we do what we say, Resp...
Sr Content and Policy Analyst
You'll be a member of the Content and Policy Analyst that define content standards and outline policy and inclusion criteria for our FCC and Trade Compliance business. You will support the management of our World Compliance data, specifically the maintenance and dissemination of our researcher-facin...
Desktop Governance & Compliance Analyst -- CGRC OR COMPTIA Certified ( 100 % REMOTE ) ----- LOCALS ONLY PLEASE
Enterprise Technology Services Analyst Contractor – (Desktop Governance & Compliance Operations). We seek a highly skilled and motivated analyst with primary responsibilities supporting audit and risk compliance, governing new software, and rationalizing applications. Desktop Governance & Compliance...