Analyst, Surveillance

This is a fully remote position, open to applicants in United States.

📋 Description

• Achieve established targets for both individual and team tasks, focusing on the quality and quantity of work performed.

• Liaise with financial advisors and the Manager to identify, address, and document issues along with their resolutions.

• Work collaboratively with colleagues and other internal personnel to create improved tools and methodologies.

• Support the completion of document requests from regulatory bodies such as FINRA, SEC, state securities boards, internal auditors, and the legal department.

• Undertake additional compliance-related projects and assignments as directed by the Surveillance Manager.

• Assist the firm in reducing risk factors associated with client accounts and the activities of financial advisors.

• Conduct functions and analyses utilizing software applications and reports to ensure adherence to industry regulations and company policies.

⛳️ Requirements

• Minimum of 3 years of experience in the financial services sector, ideally within a Broker-Dealer setting.

• Prior experience in compliance is preferred.

• A college degree is preferred, ideally in finance, economics, or business.

• Strong understanding of Broker/Dealer and Investment Advisory regulations.

• Effective communication style, balancing a client service approach with business needs.

• Detail-oriented with exceptional organizational and time management abilities.

• A strong team player.

• Proficient in Microsoft Office applications and capable of learning other internal systems.

• Required certifications: Series 7, 63, and 24.

• Preferred certifications: Series 65 or Series 66.

🏝️ Benefits

• Competitive salary and performance-based incentives.

• Comprehensive health and wellness benefits.

• Opportunities for professional development and career advancement.

• Supportive work environment that encourages teamwork and collaboration.