Surveillance Analyst

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

📋 Description

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

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

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

• Aid in fulfilling document requests from FINRA, SEC, state securities regulators, as well as internal auditors or the legal department.

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

• Ensure comprehensive and defensible documentation suitable for regulatory scrutiny.

• Undertake additional compliance-related projects and tasks as assigned by the Surveillance Manager.

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

• Exhibit a holistic communication style that balances a service-oriented approach with business requirements.

• Display attention to detail with excellent organizational and time management abilities.

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

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

• Be a strong team collaborator.

• Have proficiency in Microsoft Office applications and the ability to learn other internal software.

⛳️ Requirements

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

• Previous 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

• Competitive salary and performance-based incentives.

• Health, dental, and vision insurance options.

• Retirement savings plan with employer contributions.

• Opportunities for professional development and career advancement.

• Supportive and collaborative work environment.