Surveillance Analyst

Responsibilities

• Conduct ongoing surveillance of trading activity (brokerage transactions) and investment advisory activities to detect potential regulatory violations, market manipulation, or compliance issues.
• Review and assess surveillance alerts and reports; identify patterns of suspicious behavior (e.g., excessive trading, unsuitable transactions) and escalate issues for further investigation or supervisory action.
• Maintain detailed documentation of surveillance reviews, alert resolutions, and supervisory actions in accordance with firm procedures and regulatory expectations.
• Collaborate with Compliance, Risk, Legal, and Leadership to investigate and resolve potential regulatory or reputational risks identified through surveillance.
• Assist in the enhancement of surveillance programs by designing and improving surveillance techniques, rules, and models; participate in user acceptance testing (UAT) for new surveillance systems or updates.
• Develop and compile comprehensive surveillance metrics and reports for distribution to Compliance leadership and business management, highlighting trends and findings.
• Help draft and update written supervisory procedures, policies, and training materials related to trading and advisory surveillance.
• Support responses to regulatory inquiries, examinations, and investigations by gathering surveillance data and documentation as needed.
• Perform other delegated supervisory duties or special projects as assigned to support the firm’s overall compliance and supervisory program.

Requirements

• 2+ years of experience in compliance, surveillance, or supervision within a broker-dealer or investment advisory firm (or relevant regulatory agency).
• Strong working knowledge of FINRA, SEC, and federal securities laws and regulations applicable to broker-dealers and RIAs, including trading and investment advisory activities.
• Familiarity with a broad range of investment products and services (e.g., equities, fixed income, mutual funds, annuities, managed accounts, insurance products) and how they are supervised.
• Experience with or ability to quickly learn automated surveillance systems and tools (e.g., InvestEdge or other compliance systems) to analyze trading and account activity.
• High proficiency in data analysis and Microsoft Excel; able to manipulate and analyze large data sets to identify trends and anomalies.
• Excellent written and verbal communication skills, with ability to document findings clearly and to communicate issues to senior management and advisors.
• Strong analytical and investigative mindset with acute attention to detail and accuracy in a high-volume, fast-paced environment.
• Demonstrated ability to work independently and exercise sound judgment in making supervisory decisions with minimal supervision.
• Effective time management and organizational skills; capable of managing multiple priorities and meeting deadlines while maintaining a high level of quality.
• High level of integrity, discretion, and professionalism when dealing with sensitive information and during interactions with internal and external parties.
• Collaborative team player with a proactive approach to addressing issues and continuously improving compliance processes.

Qualifications

• Undergraduate degree in Business, Finance, or a related discipline, or equivalent work experience.
• Series 7, 66 (or 63 and 65), 24, 4 (or 9 and 10) required; Series 53, and Life & Health Insurance licenses are a plus.