Sr. Analyst, Surveillance Escalations & Sales Practice Risk
Core
Provide oversight, governance, and executive-level reporting for sales practice escalations generated through surveillance reviews to support risk mitigation.
Role type
Senior Analyst, Sales Practice Risk & Escalation Governance
Builds
Executive risk reports, dashboards, and governance metrics for surveillance leadership
Domain
Financial Services / Wealth Management / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Sales practice risk assessment, Escalation governance, Risk analysis & trend identification, Executive reporting, Data aggregation, Regulatory framework knowledge
Preferred skills
FINRA or regulatory examination experience, Equities/Fixed Income/Options knowledge
Technologies
Dashboards, Reporting tools
Responsibilities
Own centralized inventory and governance process for surveillance escalations, Review and assess supervisory responses to escalations, Maintain formal watch list of significant sales practice matters, Prepare executive-level reporting and management information packages, Aggregate and analyze escalation data to identify recurring risks, Develop metrics and reporting tools for transparency
Seniority
Senior, hands-on IC
