Compliance Analyst - Surveillance

The surveillance analyst position works directly with the Senior Analyst team leader.  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 the advisor’s trading behavior to mitigate undue risk to the firm.

This is a hybrid role, candidates must be near an office location: El Segundo, CA | San Diego, CA | Denver, CO | Des Moines, IA  | Schaumburg, IL | St Cloud, MN | St Paul, MN | Atlanta, GA  | Dallas, TX. 

What you will do:

• 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 the advisor’s trading behavior.


• Upload completed and final reviews to the 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.

What you need to have:

• Must have 1-2 years of experience in Compliance, Surveillance and/or Supervision. 


• Must be proficient in Excel.


• Must have strong analytical and research skills.


• Strong time management skills and ability to meet deadlines.


• Some knowledge of financial services products such as but not limited to Mutual Funds, Stocks, and Variable Annuities.


• Ability to learn information and concepts quickly and work independently.


• Series 7, 63, and be willing to obtain Series 24.

Compensation: 

The base annual salary range for this role is $60,000 to $70,000, plus a competitive performance-based bonus.  Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.

#LI-Hybrid