Surveillance Analyst

Locations: Atlanta – 2300 Windy Ridge Pkwy SE, Suite 750, Atlanta, GA 30339; La Vista – 12325 Port Grace Blvd, La Vista, NE 68128; Oakdale – 7755 3rd St. N, Oakdale, MN 55128; Scottsdale – 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255; St. Petersburg – 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702.

Responsibilities

• Reviews financial professionals’ book of business for common risks and regulatory issues.
• Conduct ongoing surveillance of trading activity, communications, and other transactional data to identify potential compliance violations.
• Review alerts and escalate issues requiring further investigation or supervision.
• 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, Branch Office Examinations and Senior Management teams for review and follow up.
• Participates in the creation and issuance of Compliance Manuals, Written Procedures and Compliance Communications.
• All other duties as assigned.

Requirements

• Two to three 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 able 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.

Skills

• FINRA Series 7 and Series 24 preferred.
• Insurance license preferred.
• 2+ years’ regulatory experience.
• Experience at an independent broker‑dealer.

Qualifications

• Bachelor’s degree preferred; high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.
• Minimum of high school diploma or equivalent is required.

Benefits

• Health, vision, and dental insurance
• 401(k)
• Paid time away
• Volunteer days
• Additional benefits detailed on the Osaic Benefits page

Pay

Salary: $50K – $56K per year + annual performance‑based bonus.

Actual compensation offered will be determined individually, based on a number of job‑related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic