Surveillance Analyst
Job Description
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Advisor Group Careers
Be a part of the team behind our success! At Advisor Group, we support financial professionals nationwide, the people who help everyday Americans achieve their dreams. We're a billion-dollar business with the mentality and drive of a startup. Join us in building something special.
Compliance Risk Opportunity in Financial Services
Surveillance Analyst
Location: This position is open to remote candidates
Summary:
The Surveillance Analyst will be responsible for completing Field Advisor and product activity-based reviews. This position reports to the Manager of Surveillance.
Responsibilities:
Education Requirements:
Basic Requirements:
Preferred Requirements:
Advisor Group Careers
Be a part of the team behind our success! At Advisor Group, we support financial professionals nationwide, the people who help everyday Americans achieve their dreams. We're a billion-dollar business with the mentality and drive of a startup. Join us in building something special.
Compliance Risk Opportunity in Financial Services
Surveillance Analyst
Location: This position is open to remote candidates
Summary:
The Surveillance Analyst will be responsible for completing Field Advisor and product activity-based reviews. This position reports to the Manager of Surveillance.
Responsibilities:
- Review financial professionals book of business for common risks and regulatory issues.
- Create 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.
- Deliver trend summaries to Internal Supervision, Compliance, Branch Office Examinations and Senior Management teams for review and follow up.
- Participate in the creation and issuance of Compliance Manuals, Written Procedures and Compliance communications.
- All other duties as assigned
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.
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 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 and 24 preferred.
- Insurance license preferred
- 2+ years' regulatory experience is preferred.
- Experience at an independent broker-dealer is preferred
Date Posted
08/31/2022
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Positive
Subjectivity Score: 0.8
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