Surveillance Analyst
for section headings like About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. We need to include only sections that have real specific content. The posting includes: location info, hybrid schedule, role type full-time, salary range, benefits list, summary, responsibilities, education requirements, basic requirements, preferred requirements. Also mentions "Actual compensation offered will be determined individually..." but we have salary range. Benefits: health, vision, dental insurance, 401k, paid time away, volunteer days and much more. Also schedule: hybrid requiring minimum of 4 days weekly in the office. So we can have sections: About the role (maybe summary), Responsibilities, Requirements (maybe combine education and basic requirements?), Qualifications (maybe preferred requirements?), Skills (maybe proficiency with MS Office etc), Benefits, Pay, Schedule.
We must not repeat job title as heading. No Job ID etc. Remove boilerplate like EEO, eligibility, etc. Also remove application instructions (none). Remove duplicated lines.
We need to preserve all substantive info. So include location list? Probably part of About the role or maybe a short paragraph. The location list is substantive; we should include it. The posting says "Location(s): ..." and "Applicants should be located at one of our hubs listed above". So we can include that in a paragraph under About the role or maybe a separate section? There's no specific heading for location; we could put it in About the role paragraph.
We need to avoid filler like "commensurate with experience" etc. Not present.
We must not create Pay/Schedule/Benefits sections unless posting actually states them. It does state salary range, benefits, schedule. So include those.
We must use for section headings. Use - for any list of duties/requirements/benefits. Use
for prose.
We need to decide sections:
- About the role: could include summary paragraph and location info and hybrid schedule? But schedule is separate section maybe. However schedule is a specific content; we can have Schedule section. So About the role could include summary and location.
- Responsibilities: list.
- Requirements: maybe education requirements and basic requirements (two to three years experience, proficiency etc). Could be combined.
- Qualifications: maybe preferred requirements (FINRA series, insurance license, etc). Or we could treat "Preferred Requirements" as Qualifications.
- Skills: maybe proficiency with MS Office, Excel, ability to analyze data, etc. Could be part of Requirements but we can separate.
- Benefits: list.
- Pay: salary range.
- Schedule: hybrid schedule requirement.
We must not create sections with filler. Ensure each heading has substantive content.
Let's extract content:
Location list: 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.
Hybrid schedule: Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.
Role Type: Full-time.
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’s total compensation package.
Benefits: Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: Osaic Benefits. (We should not include the link? It's a reference; we can keep mention but not as a link? Probably keep as text.)
Summary: The Surveillance Analyst will be responsible for completing Field Advisor and product activity-based reviews. This position reports to the Compliance Manager.
Education Requirements: 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.
Responsibilities list:
- 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.
Basic 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.
Preferred Requirements:
- FINRA Series 7 and Series 24 preferred.
- Insurance license preferred
- 2+ years’ regulatory experience.
- Experience at an independent broker-dealer.
We could treat Basic Requirements as Requirements, Preferred Requirements as Qualifications, and Skills maybe derived from Basic Requirements (MS Office, Excel, analysis, detail-oriented, communication). But we already have those in Requirements; we could still have Skills section for things like proficiency with MS Office, Excel, analytical, communication. However to avoid duplication, we could combine.
The instruction: "Use
- for any list of duties/requirements/benefits, and
for prose." So we need to use lists for duties, requirements, benefits. For prose we use paragraphs.
Thus we can have:
About the role
Summary ... Location list ... Hybrid schedule ... Full-time.
Responsibilities
- ...
...
Requirements
- ... (education? maybe separate) Actually education is separate but could be part of Requirements. We'll include education as part of Requirements list? Could be separate
Qualifications
for education? But education is a requirement. We'll put education in Requirements as a list item.
But we also have Basic Requirements list (experience, MS Office, Excel, knowledge, ability to analyze, detail-oriented, interpret manuals, communication). We'll include those.
Thus Requirements list includes education items and basic requirements.
Qualifications
- ... preferred requirements (FINRA series, insurance license, regulatory experience, independent broker-dealer)
Skills
Maybe we could list specific skills: proficiency with MS Office and Word, MS Excel, ability to analyze large amounts of trade data, detail-oriented, investigative, effective communication, ability to interpret regulatory publications. But these are already in Requirements. To avoid duplication, maybe we skip Skills section if content overlaps heavily. But we need to follow instruction: "Prefer a few substantive sections over many thin ones." So we could combine Skills into Requirements or Qualifications. However we need to include a Skills section only if posting has real specific content for it. The posting does mention skills: "Must be proficient with MS Office and Word. Proficiency with MS Excel is a must." Also "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." So we could make a Skills section with those. But then Requirements would be experience and education? Might be okay.
Let's decide: We'll have sections: About the role, Responsibilities, Requirements (experience and education), Skills, Benefits, Pay, Schedule.
Check duplication: Requirements will have education and experience. Skills will have technical and soft skills. That seems non-duplicative.
Now we need to ensure we don't include filler like "much more" maybe okay.
Now produce HTML.
We must not include any markdown fences. Just raw HTML.
Let's craft.
About the role paragraph: include summary, location list, hybrid schedule, full-time.
We need to preserve all substantive info: location list exactly as given. We'll format as a sentence.
Paragraph: "The Surveillance Analyst will be responsible for completing Field Advisor and product activity-based reviews. This position reports to the Compliance Manager. Locations include 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. Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of the hubs listed above and must be willing to work this schedule. Role type: Full-time."
Now Responsibilities list: copy each bullet.
Now Requirements list: education items: "Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree." and "Minimum of high school diploma or equivalent is required." plus experience: "Two to three years of experience in the financial securities industry is required." Could also include that as requirement.
But we already have experience in Requirements; we could keep it there.
Now Skills list: "Must be proficient with MS Office and Word.", "Proficiency with MS Excel is a must.", "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."
Now Benefits list: "health, vision, dental insurance", "401k", "paid time away", "volunteer days", "and much more" maybe we keep as item "and much more" but it's vague; maybe we keep as "additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more." Could be a single paragraph but we need list for benefits. We'll make list items: health insurance, vision
- for any list of duties/requirements/benefits. Use
for prose. We need to decide sections: - About the role: could include summary paragraph and location info and hybrid schedule? But schedule is separate section maybe. However schedule is a specific content; we can have Schedule section. So About the role could include summary and location. - Responsibilities: list. - Requirements: maybe education requirements and basic requirements (two to three years experience, proficiency etc). Could be combined. - Qualifications: maybe preferred requirements (FINRA series, insurance license, etc). Or we could treat "Preferred Requirements" as Qualifications. - Skills: maybe proficiency with MS Office, Excel, ability to analyze data, etc. Could be part of Requirements but we can separate. - Benefits: list. - Pay: salary range. - Schedule: hybrid schedule requirement. We must not create sections with filler. Ensure each heading has substantive content. Let's extract content: Location list: 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. Hybrid schedule: Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule. Role Type: Full-time. 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’s total compensation package. Benefits: Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: Osaic Benefits. (We should not include the link? It's a reference; we can keep mention but not as a link? Probably keep as text.) Summary: The Surveillance Analyst will be responsible for completing Field Advisor and product activity-based reviews. This position reports to the Compliance Manager. Education Requirements: 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. Responsibilities list: - 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. Basic 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. Preferred Requirements: - FINRA Series 7 and Series 24 preferred. - Insurance license preferred - 2+ years’ regulatory experience. - Experience at an independent broker-dealer. We could treat Basic Requirements as Requirements, Preferred Requirements as Qualifications, and Skills maybe derived from Basic Requirements (MS Office, Excel, analysis, detail-oriented, communication). But we already have those in Requirements; we could still have Skills section for things like proficiency with MS Office, Excel, analytical, communication. However to avoid duplication, we could combine. The instruction: "Use
- for any list of duties/requirements/benefits, and
for prose." So we need to use lists for duties, requirements, benefits. For prose we use paragraphs. Thus we can have:
About the role
Summary ... Location list ... Hybrid schedule ... Full-time.
Responsibilities
- ... ...
Requirements
- ... (education? maybe separate) Actually education is separate but could be part of Requirements. We'll include education as part of Requirements list? Could be separate
Qualifications
for education? But education is a requirement. We'll put education in Requirements as a list item. But we also have Basic Requirements list (experience, MS Office, Excel, knowledge, ability to analyze, detail-oriented, interpret manuals, communication). We'll include those. Thus Requirements list includes education items and basic requirements.Qualifications
- ... preferred requirements (FINRA series, insurance license, regulatory experience, independent broker-dealer)
Skills
Maybe we could list specific skills: proficiency with MS Office and Word, MS Excel, ability to analyze large amounts of trade data, detail-oriented, investigative, effective communication, ability to interpret regulatory publications. But these are already in Requirements. To avoid duplication, maybe we skip Skills section if content overlaps heavily. But we need to follow instruction: "Prefer a few substantive sections over many thin ones." So we could combine Skills into Requirements or Qualifications. However we need to include a Skills section only if posting has real specific content for it. The posting does mention skills: "Must be proficient with MS Office and Word. Proficiency with MS Excel is a must." Also "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." So we could make a Skills section with those. But then Requirements would be experience and education? Might be okay. Let's decide: We'll have sections: About the role, Responsibilities, Requirements (experience and education), Skills, Benefits, Pay, Schedule. Check duplication: Requirements will have education and experience. Skills will have technical and soft skills. That seems non-duplicative. Now we need to ensure we don't include filler like "much more" maybe okay. Now produce HTML. We must not include any markdown fences. Just raw HTML. Let's craft. About the role paragraph: include summary, location list, hybrid schedule, full-time. We need to preserve all substantive info: location list exactly as given. We'll format as a sentence. Paragraph: "The Surveillance Analyst will be responsible for completing Field Advisor and product activity-based reviews. This position reports to the Compliance Manager. Locations include 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. Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of the hubs listed above and must be willing to work this schedule. Role type: Full-time." Now Responsibilities list: copy each bullet. Now Requirements list: education items: "Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree." and "Minimum of high school diploma or equivalent is required." plus experience: "Two to three years of experience in the financial securities industry is required." Could also include that as requirement. But we already have experience in Requirements; we could keep it there. Now Skills list: "Must be proficient with MS Office and Word.", "Proficiency with MS Excel is a must.", "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." Now Benefits list: "health, vision, dental insurance", "401k", "paid time away", "volunteer days", "and much more" maybe we keep as item "and much more" but it's vague; maybe we keep as "additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more." Could be a single paragraph but we need list for benefits. We'll make list items: health insurance, vision
- for any list of duties/requirements/benefits, and