Surveillance Analyst

Cambridge Investment Research, Inc.•Phoenix, AZ

2d•$65,000 - $95,000•Hybrid

About The Position

The Surveillance Analyst plays a critical role in supporting the firm’s supervisory and regulatory compliance framework. This position is responsible for monitoring and analyzing exception reporting data to identify, investigate, and help resolve potential policy violations. The analyst partners with internal stakeholders to uphold compliance standards, ensure adherence to regulatory requirements, and strengthen supervisory controls across the organization. Key responsibilities include coordinating Personal Securities Authorizations, conducting trade and correspondence review quality assurance for OSJ Supervisors, and collaborating across departments to resolve compliance-related issues. The role also serves as a resource to financial professionals, associates, and leadership by providing guidance on compliance matters, communicating firm and clearing firm policies, and ensuring consistent application of procedures. The Surveillance Analyst maintains active industry knowledge and supports ongoing regulatory obligations, including continuing education requirements associated with FINRA licenses (Series 7 and 24). For exceptional candidates, the firm has flexibility to hire at a Senior Surveillance Analyst level with expanded scope and responsibility.

Requirements

Detail-oriented compliance professional with a strong analytical mindset and a commitment to regulatory excellence
Demonstrating sound judgment, proactive problem-solving skills, and the ability to manage multiple priorities in a fast-paced environment
FINRA Series 7 and 24 licenses (or ability to obtain)

Nice To Haves

Senior level talent who bring a deeper subject matter expertise at a Senior Analyst level

Responsibilities

Fulfill supervisory and regulatory requirements including, but not limited to analyzing exception reporting data, detecting, preventing, and resolving potential policy violations, coordinating Personal Securities Authorizations, performing trade review and correspondence review quality assurance for OSJ Supervisors and working with other department stakeholders to resolve issues
Provide customer service related to Compliance and supply information as needed at request of management, company associates, and financial professionals and track open issues with consistent follow-up to ensure issues are resolved
Communicate internal policies and procedures, as well as external clearing firm policies and procedures to financial professionals and employees, ensure policies/ procedures are being followed and inform management of potential violations
Maintain working industry knowledge of key topics and continuing education for FINRA licenses (Series 7 and 24)