Advisory Compliance Surveillance Analyst

TEKsystems • San Diego, CA

401d • $83,200 - $93,600 • Remote

About The Position

The Compliance Surveillance Analyst is responsible for conducting monitoring and testing across various lines of business and functions within the organization. This fully remote role involves performing general trade surveillance reviews, analyzing exception report data, and assisting with compliance-related inquiries and projects. The analyst will work closely with compliance management and other stakeholders to ensure adherence to regulatory standards and internal policies.

Requirements

• Bachelor's degree or 2+ years of compliance experience.
• 2+ years of financial services experience.
• FINRA series 7, 24 and 66 (or 65 and 63) licenses required.
• Strong analytical and problem-solving skills.
• Excellent interpersonal and communication skills.
• Possess adaptability/flexibility and organizational sense.
• Able to work collaboratively with the team.

Responsibilities

• Conduct general trade surveillance reviews focusing on potential sales practice exceptions.
• Monitor daily surveillance reports using exception reports and other tools.
• Review trade alerts and raise findings as needed.
• Analyze exception report data for trending purposes.
• Assist with inquiries and exams, and review electronic communications.
• Undertake special compliance-related projects as assigned.
• Maintain accurate and organized compliance books and records.
• Assist in the development of annual test plans based on business and regulatory priorities.
• Lead and/or perform targeted reviews according to risk and annual test plan.
• Identify issues and work with accountable owners to develop action plans and report results.
• Follow up on issues and action plans, track the status of remediation, and report results.
• Perform ongoing monitoring of sales practice and supervision, operations, trading, cashiering functions, etc.
• Report and track surveillance metrics.
• Respond to individual inquiries/issues from management related to surveillance monitoring and testing functions.
• Function as a liaison with compliance functional leads to facilitate collaboration across the enterprise.
• Conduct other related tasks to support compliance surveillance, monitoring, and testing.

Benefits

• Medical, dental & vision insurance
• Critical Illness, Accident, and Hospital coverage
• 401(k) Retirement Plan with pre-tax and Roth post-tax contributions
• Life Insurance (Voluntary Life & AD&D for the employee and dependents)
• Short and long-term disability
• Health Spending Account (HSA)
• Transportation benefits
• Employee Assistance Program
• Time Off/Leave (PTO, Vacation or Sick Leave)

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Industry: Professional, Scientific, and Technical Services
• Education Level: Bachelor's degree
• Number of Employees: 10,001+ employees