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 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. ...
Payroll Specialist - Tax and Compliance - Security Clearance Required
This role will focus on tax and compliance related work and will ensure Payroll reporting and payments are compliant with Company policy, generally accepted accounting principles (GAAP), and federal, state, and IRS regulations. Tax Compliance, including W-2 processing. Partner with Payroll vendor to...
Business Systems Analyst, Events & Operations IT Products
The Business Systems Analyst will conduct customer research and collaborate with key stakeholders across UCLA to gather business requirements and help translate them into functional and technical requirements to be utilized across the Events & Operations IT Products team. Business Systems Analyst, E...
Surveillance Investigator Central LA
JOB DESCRIPTION: SURVEILLANCE INVESTIGATOR. Start your career in surveillance investigations with a leader in the industry! Welcoming all experience levels. Services we provide include surveillance, statement & interviews, activities checks, background checks, and other investigative endeavors. Perf...
Program Coordinator and Data Analyst
In addition to the salary range listed below, we offer a wealth of benefits to make working at UCLA even more rewarding.These benefits may include medical insurance, sick and vacation time, retirement savings plans, and access to a number of discounts and perks.The expected compensation for this rol...
Engineering Project Manager - Aviation
The Engineering Project Manager is responsible for leading and managing the design, planning, and execution of aviation and airfield projects. Project Close-Out: Review and approve final engineering drawings, summarize project costs, and conduct final inspections with the FAA and sponsors to ensure ...
Compliance Officer | Investment Advisory Firm (RIA)
We are seeking a Compliance Officer to maintain and enhance our compliance policies and procedures, ensuring the firm’s adherence to regulatory standards. Proven experience as a Compliance Officer or Compliance Manager within a registered investment advisory (RIA) firm. Professional certification(s)...
Surveillance Investigator - Experienced
A dedicated position as a surveillance investigator on a full time basis. Hold a valid Private Investigator license – where applicable. Ability to utilize web-based technology, digital surveillance equipment and software. What a day in the life of an investigator looks like:. ...
Labor Compliance Analyst
The Labor Compliance Analyst monitors, audits and enforces the Compliance Program in accordance with the organizations accepted practices. Track changes and updates to state and federal labor compliance and prevailing wage regulations and standards; with the assistance of the LCO apply changes/updat...
Private Investigator - Company Vehicle
Private Investigator - Company Vehicle Provided!. If you like to work autonomously in dynamic environments, surveillance investigations provide an exciting career path meant just for you! Join the PhotoFax team today and we provide the tools necessary to start your career as a Private Investigator. ...