[Remote] Surveillance Analyst
Note: The job is a remote job and is reputed company to candidates in USA. reputed company is part of a high-performing Compliance & Supervision team supporting financial advisors in the wealth management sector. They are seeking a Surveillance Analyst who will monitor advisor activity, investigate compliance exceptions, and support regulatory requirements.
Responsibilities
- Monitor advisor activity and client account transactions
- Review and investigate compliance exceptions and supervisory alerts
- Maintain detailed documentation suitable for regulatory review
- Communicate directly with advisors and internal stakeholders regarding findings and resolutions
- Support requests tied to FINRA, SEC, state regulators, legal, and audit teams
- Assist in identifying trends and improving surveillance processes and controls
- Partner with internal teams to support compliance best practices
Skills
- Experience reputed company financial services, Broker-Dealer, or RIA environments
- Background in surveillance, supervision, compliance operations, trade review, or regulatory support
- Strong attention to detail and organizational skills
- Ability to manage multiple priorities in a deadline-driven environment
- Strong communication and critical thinking abilities
- Professional and collaborative approach
- Series 7
- Series 24
- Series 63
- Series 65 or 66
- Exposure to advisor supervision or suitability review processes
Benefits
- Bonus
- Full Benefits
- This is a fully remote opportunity
Company Overview