Analyst, Surveillance
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Key details
- Location
- Remote
- Work style
- Remote
- Level
- Mid level
- Experience
- 3–6 yrs
- Function
- Operations & Strategy
- Focus area
- other
- Posted
- 6d ago
Skills
compliancemicrosoft officeseries 7
About the role
Lead with Purpose. Partner with Impact.
As a member of the Surveillance team, the Analyst will assist the firm in mitigating certain risk conditions associated with client accounts and financial advisor activities. Utilizing a variety of software applications and reports, the Analyst will perform functions & analysis to enable the firm’s achievement of high levels of compliance with industry regulations & company policies.
What You’ll Do:
Meet predetermined goals for both team & individual assignments based on both quality and volume of work completed.
Communicate with financial advisors and Manager to resolve and document issues and resolutions.
Collaborate with team members and other internal staff to develop enhanced tools and techniques.
Assist in completing document requests from FINRA, SEC, state securities boards, as well as internal auditors or legal department.
Other compliance-related projects and tasks as assigned by the Surveillance Manager.
What You Bring:
3+years’ experience in financial services, preferably within a Broker-Dealer environment.
Compliance experience preferred.
College degree preferred, preferably in finance, economics or business.
Sound understanding of Broker/Dealer and Investment Advisory regulations.
Holistic communication style, balancing a service approach with business requirements.
Detail oriented with strong organization & time management skills.
Strong team player.
Proficient with Microsoft Office applications and ability to learn other internal applications.
CERTIFICATES, LICENSES, REGISTRATION:
Series 7, 63 and 24 required.
Series 65 or Series 66 preferred.
As a member of the Surveillance team, the Analyst will assist the firm in mitigating certain risk conditions associated with client accounts and financial advisor activities. Utilizing a variety of software applications and reports, the Analyst will perform functions & analysis to enable the firm’s achievement of high levels of compliance with industry regulations & company policies.
What You’ll Do:
Meet predetermined goals for both team & individual assignments based on both quality and volume of work completed.
Communicate with financial advisors and Manager to resolve and document issues and resolutions.
Collaborate with team members and other internal staff to develop enhanced tools and techniques.
Assist in completing document requests from FINRA, SEC, state securities boards, as well as internal auditors or legal department.
Other compliance-related projects and tasks as assigned by the Surveillance Manager.
What You Bring:
3+years’ experience in financial services, preferably within a Broker-Dealer environment.
Compliance experience preferred.
College degree preferred, preferably in finance, economics or business.
Sound understanding of Broker/Dealer and Investment Advisory regulations.
Holistic communication style, balancing a service approach with business requirements.
Detail oriented with strong organization & time management skills.
Strong team player.
Proficient with Microsoft Office applications and ability to learn other internal applications.
CERTIFICATES, LICENSES, REGISTRATION:
Series 7, 63 and 24 required.
Series 65 or Series 66 preferred.