Senior Surveillance Analyst

Advisor GroupScottsdale, AZ
Hybrid

About The Position

The Sr. Surveillance Analyst will be responsible for completing Field Advisor and product activity-based reviews. This position reports to the Manager of Surveillance.

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.
  • 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

  • Additional knowledge in variable annuities and mutual funds strongly preferred.
  • FINRA Series 7 required, 24 preferred.
  • Insurance license preferred
  • 2+ years’ regulatory experience is preferred.
  • Experience at an independent broker-dealer is preferred

Responsibilities

  • Review financial professional’s 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

Benefits

  • health, vision, dental insurance
  • 401k
  • paid time away
  • volunteer days
  • annual bonus
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