Surveillance Analyst
Core
Conduct ongoing surveillance of trading activity, communications, and transactional data to identify potential compliance violations in the financial securities industry.
Role type
Compliance Surveillance Analyst
Builds
Compliance trend summaries and reports for Internal Supervision, Compliance, Branch Office Examinations, and Senior Management.
Domain
Financial Services / Securities Compliance
Deliverable
dashboards & analysis
Required skills
Trade data analysis, MS Excel proficiency, knowledge of mutual funds/variable annuities/alternative investments, regulatory manual interpretation (FINRA/Sales Practice), risk identification
Preferred skills
FINRA Series 7 and Series 24 licenses, insurance license, independent broker-dealer experience
Technologies
MS Office, MS Excel
Responsibilities
Review financial professionals' book of business for risks and regulatory issues, review alerts and escalate issues, create summaries detailing negative trends (e.g., variable annuity replacements, fund switching), deliver trend summaries to management teams, participate in creating Compliance Manuals and Written Procedures
Seniority
Mid-level IC
