Surveillance Analyst

About the role

The Surveillance Analyst will be responsible for completing Field Advisor and product activity-based reviews. This position reports to the Compliance Manager. The role is full‑time and based at one of the following hubs: Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, 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 Com