Senior Compliance Analyst - Surveillance
Cetera•Atlanta, GA
•$87,000 - $100,000
About The Position
The Senior Compliance Analyst - Surveillance supports broker-dealer compliance and supervision through monthly product reviews, advisor trade surveillance, and analysis of advisor trading behavior. The role also assists with compliance inquiries, regulatory requests, and additional projects. The analyst is expected to maintain industry and product knowledge and to coordinate recurring calls with Compliance and Supervision.
Requirements
- Proficiency in Excel.
- Strong analytical and research skills.
- Strong time-management skills and ability to meet deadlines.
- Some knowledge of financial products, including but not limited to mutual funds, stocks, and variable annuities.
- Familiarity with AI prompting for analysis and reporting.
- Ability to learn information and concepts quickly and work independently.
- Series 7 and Series 63 licenses.
- Willingness to obtain Series 24.
Responsibilities
- Complete monthly product reviews accurately and in a timely manner.
- Review advisor trades to detect violations of Broker-Dealer policies.
- Identify trends and patterns in advisors’ trading behavior.
- Upload completed and final reviews to the imaging system.
- Continue to gain industry and product knowledge by attending conferences and webinars.
- Assist in responding to inquiries from Compliance and Supervision.
- Assist with additional projects.
- Schedule and facilitate monthly BD calls with Compliance and Supervision.
- Maintain the monthly BD call summary.
- Assist the team with organizing regulatory requests.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
Education Level
No Education Listed
