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 risk analyst (sales practice surveillance)
Builds
Executive reporting packages, dashboards, and metrics for surveillance leadership
Domain
Financial services / Wealth management / Regulatory compliance
Deliverable
dashboards & analysis
Required skills
Escalation governance, Risk analysis, Trend identification, Executive reporting, Data aggregation, Supervisory response assessment
Preferred skills
FINRA/regulatory examination experience, Equities/fixed income/options knowledge