Senior Compliance Analyst - Surveillance

Senior Surveillance analyst position work directly with the Surveillance Analyst team and report directly to department management. The role will include post-trade reviews on financial products to identify potential risks and violations of Broker Dealer policies. This role will also include the identification of trends and patterns of advisor’s trading behavior to mitigate undo risk to the firm.

Duties and Responsibilities :

• Complete monthly product reviews accurately and in a timely manner
• Review advisor trades to detect violations of Broker-Dealer policies
• Identify trends and patterns of advisor’s trading behavior
• Upload completed and final reviews to imaging system
• Continue to gain industry and product knowledge by attending conferences and webinars
• Assist in responding to inquiries from Compliance/Supervision
• Assist with additional projects
• Schedule and facilitate monthly BD calls with Compliance and Supervision
• Maintain monthly BD call summary

Assist the team with organizing regulatory requests

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Knowledge, Skills and Abilities:

• Must be proficient in Excel.
• Must have strong analytical and research skills.
• Strong time management skills and able to meet deadlines.
• Some knowledge of financial products such as but not limited to Mutual Funds, Stocks and Variable Annuities
• Familiar with AI prompting for analysis and reporting
• Ability to learn information and concepts quickly and work independently.
• Series 7, 63 and be willing to obtain Series 24