Senior Surveillance Analyst
Core
Reviews financial professionals' book of business for risks and regulatory issues, creating summaries of negative trends like high annuity replacements or fund switching.
Role type
Senior IC compliance surveillance analyst
Builds
Trend summaries and reports for Internal Supervision, Compliance, and Senior Management
Domain
Financial services / Securities regulation
Deliverable
dashboards & analysis
Required skills
Analyzing large trade data, interpreting FINRA/Sales Practice manuals, creating regulatory summaries, quality assurance of analyst deliverables, MS Excel proficiency
Preferred skills
FINRA Series 7, FINRA Series 24, insurance license, regulatory experience, independent broker-dealer experience
Technologies
MS Office, MS Word, MS Excel
Responsibilities
Reviews financial professionals' book of business for common risks and regulatory issues; Creates representative summaries detailing negative trends; Delivers trend summaries to Internal Supervision, Compliance and Senior Management teams; Assists Surveillance manager in creating and editing Surveillance procedures; Leads additional projects and regulatory requests; Conducts Quality Assurance of analyst deliverables; Serves as SME for Surveillance report IT/QA/UAT testing; Trains new/current Surveillance Analysts
Seniority
Senior, hands-on IC