Surveillance Analyst

This is a fully remote position, open to applicants anywhere in the world.

📋 Description

• Achieve set objectives for both team and individual tasks concerning the quality and quantity of work accomplished.

• Engage with financial advisors and the Manager to address and document issues and their resolutions.

• Work collaboratively with team members and other internal personnel to create improved tools and methods.

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

• Investigate, document, and escalate any regulatory and policy exceptions in line with firm protocols.

• Maintain comprehensive and defensible documentation appropriate for regulatory review.

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

• Possess a solid understanding of Broker/Dealer and Investment Advisory regulations.

• Exhibit a holistic communication style that balances a service approach with business necessities.

• Detail-oriented, with excellent organizational and time management abilities.

• Capable of interpreting regulations and applying them to practical advisory and brokerage activities.

• Demonstrate strong investigative, analytical, and written documentation skills.

• Be a strong team collaborator.

• Proficient in Microsoft Office applications and eager to learn other internal systems.

⛳️ Requirements

• 3+ years of experience in financial services, ideally within an RIA and/or Broker-Dealer setting.

• Compliance experience is preferred.

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

• Series 7, 63, and 24 licenses are required.

• Series 65 or Series 66 licenses are preferred.

🏝️ Benefits

• Comprehensive health and wellness programs.

• Competitive salary and performance-based bonuses.

• Opportunities for professional development and continuous learning.

• Flexible working arrangements.