Senior Surveillance Analyst

Senior Surveillance Analyst Osaic Careers Compliance Risk Opportunity in Financial Services.Location(s) Atlanta: 2300 Windy Ridge Pkwy SE, Suite 750, Atlanta, GA 30339La Vista: 12325 Port Grace Blvd, La Vista, NE 68128Oakdale: 7755 3rd St. N, Oakdale, MN 55128Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702Osaic is not considering remote candidates at this time. Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.Role Type Full-timeCompensation Salary: $90,000 - $105,000 per year + annual bonus. Actual compensation offered will be determined individually, based on a number of job‑related factors, including location, skills, licensure, experience, and education.Benefits Health insuranceVision insuranceDental insurance401(k)Paid time awayVolunteer daysAnd much moreSummary The Sr. Surveillance Analyst will be responsible for completing Field Advisor and product activity‑based reviews.Education Requirements Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree.Minimum of high school diploma or equivalent is required.Responsibilities Review financial professional's book of business for common risks and regulatory issues.Creates representative summaries detailing negative trends including high rates of variable annuity replacements, mutual fund B-share and C-share concerns, high rates of mutual fund switching, alternative investment liquidity issues, etc.Delivers trend summaries to Internal Supervision, Compliance and Senior Management teams for review and follow up.Assist Surveillance manager in the creation and editing of Surveillance procedures and Written Supervisory Procedures.Lead additional projects and regulatory requests and necessary.Conducts Quality Assurance of analyst deliverables for financial professional profiles and Activity Based Reviews.SME for all Surveillance report IT/QA/UAT testing.Train new/current Surveillance Analysts.All other duties as assigned.Basic Requirements Three to five years of experience in the financial securities industry is required.Must be proficient with MS Office and Word.Proficiency with MS Excel is a must.Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds is required.Ability to analyze large amounts of trade data and think through complex Compliance issues.Must be detail‑oriented, investigative and have the ability to handle a high volume of work independently.Ability to interpret the Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation.Effective communication skills, both written and verbal.Preferred Requirements FINRA Series 7 required, 24 preferred.Insurance license preferred.2+ years' regulatory experience is preferred.Experience at an independent broker‑dealer is preferred.#J-18808-Ljbffr

Senior Surveillance Analyst Osaic Careers Compliance Risk Opportunity in Financial Services.Location(s) Atlanta: 2300 Windy Ridge Pkwy SE, Suite 750, Atlanta, GA 30339La Vista: 12325 Port Grace Blvd, La Vista, NE 68128Oakdale: 7755 3rd St. N, Oakdale, MN 55128Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702Osaic is not considering remote candidates at this time. Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.Role Type Full-timeCompensation Salary: $90,000 - $105,000 per year + annual bonus. Actual compensation offered will be determined individually, based on a number of job‑related factors, including location, skills, licensure, experience, and education.Benefits Health insuranceVision insuranceDental insurance401(k)Paid time awayVolunteer daysAnd much moreSummary The Sr. Surveillance Analyst will be responsible for completing Field Advisor and product activity‑based reviews.Education Requirements Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree.Minimum of high school diploma or equivalent is required.Responsibilities Review financial professional's book of business for common risks and regulatory issues.Creates representative summaries detailing negative trends including high rates of variable annuity replacements, mutual fund B-share and C-share concerns, high rates of mutual fund switching, alternative investment liquidity issues, etc.Delivers trend summaries to Internal Supervision, Compliance and Senior Management teams for review and follow up.Assist Surveillance manager in the creation and editing of Surveillance procedures and Written Supervisory Procedures.Lead additional projects and regulatory requests and necessary.Conducts Quality Assurance of analyst deliverables for financial professional profiles and Activity Based Reviews.SME for all Surveillance report IT/QA/UAT testing.Train new/current Surveillance Analysts.All other duties as assigned.Basic Requirements Three to five years of experience in the financial securities industry is required.Must be proficient with MS Office and Word.Proficiency with MS Excel is a must.Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds is required.Ability to analyze large amounts of trade data and think through complex Compliance issues.Must be detail‑oriented, investigative and have the ability to handle a high volume of work independently.Ability to interpret the Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation.Effective communication skills, both written and verbal.Preferred Requirements FINRA Series 7 required, 24 preferred.Insurance license preferred.2+ years' regulatory experience is preferred.Experience at an independent broker‑dealer is preferred.#J-18808-Ljbffr

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