Surveillance Analyst

Summary

Location(s)

• Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339
• La Vista: 12325 Port Grace Blvd, La Vista, NE 68128
• Oakdale: 7755 3rd St. N, Oakdale, MN 55128
• Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
• St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702

Hybrid Work Schedule

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-time

Salary

$50K - $56K per year + annual performance-based bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Benefits

Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more.

Summary

The Surveillance Analyst will be responsible for completing Field Advisor and product activity-based reviews. This position reports to the Compliance Manager.

Education Requirements

Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Responsibilities

• Reviews financial professionals' book of business for common risks and regulatory issues.
• Conduct ongoing surveillance of trading activity, communications, and other transactional data to identify potential compliance violations.
• Review alerts and elevate issues requiring further investigation or supervision.
• 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, Branch Office Examinations and Senior Management teams for review and follow up.
• Participates in the creation and issuance of Compliance Manuals, Written Procedures and Compliance Communications.
• All other duties as assigned.

Basic Requirements

• Two to three 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. (Additional knowledge in variable annuities and mutual funds strongly preferred.)
• Ability to analyze large amounts of trade data and to think through complex Compliance issues.
• Must be detail-oriented, investigative, and able 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 and Series 24 preferred.
• Insurance license preferred 2+ years' regulatory experience.
• Experience at an independent broker-dealer.

Job Description

Location(s)

• Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339
• La Vista: 12325 Port Grace Blvd, La Vista, NE 68128
• Oakdale: 7755 3rd St. N, Oakdale, MN 55128
• Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
• St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702

Hybrid Work Schedule

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-time

Salary

$50K - $56K per year + annual performance-based bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Benefits

Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more.

Summary

The Surveillance Analyst will be responsible for completing Field Advisor and product activity-based reviews. This position reports to the Compliance Manager.

Education Requirements

Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Responsibilities

• Reviews financial professionals' book of business for common risks and regulatory issues.
• Conduct ongoing surveillance of trading activity, communications, and other transactional data to identify potential compliance violations.
• Review alerts and elevate issues requiring further investigation or supervision.
• 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, Branch Office Examinations and Senior Management teams for review and follow up.
• Participates in the creation and issuance of Compliance Manuals, Written Procedures and Compliance Communications.
• All other duties as assigned.

Basic Requirements

• Two to three 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. (Additional knowledge in variable annuities and mutual funds strongly preferred.)
• Ability to analyze large amounts of trade data and to think through complex Compliance issues.
• Must be detail-oriented, investigative, and able 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 and Series 24 preferred.
• Insurance license preferred 2+ years' regulatory experience.
• Experience at an independent broker-dealer.