Senior Surveillance Analyst

Advisor Group•Atlanta, GA

1d•$90,000 - $105,000•Hybrid

About The Position

The Senior Surveillance Analyst plays a critical role in ensuring compliance with regulatory standards and internal policies by conducting comprehensive reviews of Field Advisor activities and product-related transactions. This position is responsible for identifying potential risks, detecting patterns of misconduct, and escalating issues that may impact the firm’s integrity or client trust. The analyst will leverage advanced surveillance tools, data analytics, and investigative techniques to monitor advisor behavior and product suitability, providing actionable insights to mitigate risk. The role requires strong analytical skills, attention to detail, and the ability to interpret complex financial data within a fast-paced environment. The Senior Surveillance Analyst reports directly to the Manager of Surveillance and collaborates closely with Compliance, Risk Management, and other business units to maintain a robust supervisory framework.

Requirements

Three to five 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.

Nice To Haves

FINRA Series 7 required, 24 preferred.
Insurance license preferred
2+ years’ regulatory experience is preferred.
Experience at an independent broker-dealer is preferred

Responsibilities

Reviews financial professionals book of business for common risks and regulatory issues.
Creates 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.
Delivers trend summaries to Internal Supervision, Compliance and Senior Management teams for review and follow up.
Assist Surveillance manager in the creation and editing of Surveillance procedures and Written Supervisory Procedures.
Lead additional projects and regulatory requests and necessary.
Conducts Quality Assurance of analyst deliverables for financial professional profiles and Activity Based Reviews.
SME for all Surveillance report IT/QA/UAT testing
Train new/current Surveillance Analysts
All other duties as assigned