Brokerage Surveillance Analyst

Primerica•Duluth, GA

18h•$55,000 - $60,000•Hybrid

About The Position

The Brokerage Surveillance Analyst is responsible for researching surveillance and monitoring exception reports designed to identify sales practice issues, red flags, concerning business trends, or patterns of unusual activity. Cases are established for incidents that require more comprehensive research and may include in-depth product and best interest discussions with the representative, Branch Manager, OSJ Advisor, and the client. Certain cases may result in client settlements and training or disciplinary action for the representative(s). This is hybrid position that offers flexibility for remote and onsite work. Candidate must be local and be available to work both onsite and remotely during the week.

Requirements

Must be proficient in knowledge of internal and external systems used for image storage, transactional data, etc. and able to apply this information to your research and understanding of activity within each account.
This requires being knowledgeable of complex securities topics, including sales practices, general compliance, Firm policies and procedures for all areas of securities and typical best practices.
Requires proficiency in all Microsoft applications.
Strong working knowledge of brokerage products and brokerage product suitability and ability to identify and recommend resolutions for compliance pitfalls, including suitability, selling away, outside business activities, anti-money laundering, elderly, diminished capacity and commission systems.
Working knowledge of SEC, FINRA, MSRB rules and their applicability the Firm
Excellent organizational skills with the ability to handle multiple high priority projects with attention to details.
Detail-oriented with aptitude for identifying risk and capability to research complex problems and collaborate to create solutions.
Strong decision-making, investigative, and analytical skills as well as problem-solving and critical-thinking skills.
Highly proficient computer skills, including the use of MS Word, Excel, PowerPoint, data management programs, and CRMs
Strong sense of ethics, accountability, and judgment.
Excellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organization
A lifelong learner who enjoys growing from experiences and bringing ideas to the table.
A positive outlook with a strong desire to help others.
Bachelor’s degree or equivalent experience in the investment industry
SIE, Series 6, 26 (or 7, 24) licenses required; can be obtained through a learning agreement
Intermediate knowledge of PC and Microsoft Office Word/Excel

Responsibilities

Collect transactional and account information and summarize information in a digestible format using internal tracking systems.
Identify, comprehend and communicate potentially complex securities topics, including sales practices, general compliance, Firm policies and procedures, best practices.
Applying reasonable judgment when working with advisors to provide solutions to problems while ensuring compliance with firm policies and regulatory rules.
Educate, promote and reinforce the Firm's policies and procedures and best practices surrounding the investment business to support the sales force grow their business in a compliant manner.
Contact with investment clients to ensure their satisfaction with the services provided by their representative.
Diagnose potential violations of the Firm's policies and procedure and be knowledgeable of when this information needs to be referred to other departments or addressed internally.
Utilize internal or third-party systems and contacts to research purchase and redemption activity within brokerage accounts.
Analyzing and monitoring exception reports for potential violations of firm policies or regulatory rules, as well as potential sales practice issues.
Ability to identify when activity within account(s) is inconsistent with the documented investment objective and must be able to clearly summarize activity on reports and make informed decisions on whether further action/research is required through case work.
Clearly and concisely communicate complex account activity that have potential sales practice violations to senior management in a digestible format.
Communicate decisions made by senior management in a constructive manner.
Complete required paperwork and provide training on complex securities topics.