Compliance Surveillance Analyst

Advisor Group•Scottsdale, AZ

1d•$60,000 - $70,000•Hybrid

About The Position

We are seeking a detail-oriented and analytical Compliance Surveillance Analyst to join our Compliance team. In this role, you will help ensure Osaic maintains a strong supervisory framework by monitoring, identifying, and escalating potential compliance risks. This is an opportunity to contribute to a critical function that safeguards our advisors, clients, and the firm. The ideal candidate thrives in a fast-paced environment and is passionate about regulatory compliance and risk mitigation.

Requirements

1–3 years of experience incompliance, risk management, surveillance, or a related field.
Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, insurance products and bonds is required.
Strong analytical skills with the ability to identify patterns and anomalies.
Excellent written communication and documentation skills.
Ability to work independently while managing multiple priorities.
Proficiency with Microsoft Excel, Word, and data-driven systems.
High level of integrity and discretion when handling confidential information.

Nice To Haves

Experience in broker-dealer or financial services compliance.
FINRA licenses (e.g., SIE, Series 7, Series 24) and/or insurance license a plus.
Familiarity with broker dealer compliance surveillance systems

Responsibilities

Conduct ongoing surveillance of trading activity, communications, and other transactional data to identify potential compliance violations.
Review alerts and escalate issues requiring further investigation or supervision.
Document findings clearly and concisely in accordance with firm procedures.
Assist with regulatory inquiries and internal audits related to surveillance.
Partner with Compliance leadership to enhance surveillance rules, models, and workflows.
Support the development and implementation of new monitoring tools and technologies.
Stay current on industry regulations (FINRA, SEC) and apply them to daily monitoring activities.