Surveillance Analyst

Janney Montgomery Scott LLC•Philadelphia, MD

1d•Hybrid

About The Position

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm. The individual selected for this role will be responsible for analyzing data extracted from Firm records and other sources, to assess compliance with regulatory requirements and Firm policies, adherence to suitability standards, and appropriateness of rationale for account activity based on facts and circumstances. This position requires the ability to grasp complex concepts coupled with understanding and analysis of investment strategies and risk management techniques and will involve basic administration of technology platforms with a focus on increasing automation and workflow efficiency. The role involves interactions with various business areas within the Firm. Candidates may work from one of our branch locations if they have at least 3 years of regulatory or brokerage experience in surveillance, inspections, or branch supervision.

Requirements

Bachelor's degree preferred or equivalent experience
FINRA Series 7 & 66 Securities License preferred; or the ability to obtain with the first 6 months of employment
Minimum 3 years regulatory or brokerage experience in surveillance, inspections or branch supervision
Knowledge of securities laws, rules and regulations applicable to investment advisers and broker-dealers
Knowledge of Thomson Reuters BETA platform; and/or ProSurv a plus
Knowledge of broker-dealer products, including, but not limited to; equities, options, fixed income, derivatives, annuities, and investment advisory services preferred
Ability to conduct research and work on projects independently or with little guidance and present results to non-technical teams
Proficiency in MS Word and Excel
Excellent organizational, analytical and problem-solving skills
Outstanding written and verbal communication skills

Nice To Haves

Knowledge of Thomson Reuters BETA platform; and/or ProSurv a plus
Knowledge of broker-dealer products, including, but not limited to; equities, options, fixed income, derivatives, annuities, and investment advisory services preferred

Responsibilities

Review reports generated from various sources designed to highlight transactions or account conditions that appear to be exceptional in nature.
Conduct statistical analysis of data across compliance to identify patterns of unusual activity in regards to compliance governance.
Improve operational efficiencies through automation and technology-driven solutions.
Investigate transactions or account conditions that appear to be exceptional in nature utilizing various online sources of information.
Provide quantitative support to manage compliance risk across the various business areas of the firm.
Basic administration, maintenance and testing of risk-based technology platforms including FIS Protegent and Global Relay.
Work with the information technology group to document business requirements and to ensure methodologies are accurately implemented in production systems.
Maintain records of issues requiring resolution, record interactions with supervisors and others, memorialize outcomes.
Assist in researching and responding to SEC, FINRA, MSRB and other regulatory inquiries
Revise applicable compliance policies and procedures on an as-needed basis
Collaborate with colleagues on cross-departmental initiatives.
Participate in and/or complete special projects, investigations or assignments.
Complete ad hoc assignments in the general areas of compliance risk management and analytics.