Compliance Risk Opportunity in Financial Services

Senior Surveillance Analyst

Location(s): 20 E Thomas Rd, #2000, Phoenix, AZ 85012 2300 Windy Ridge Parkway, Atlanta, GA 30339

7755 Third Street North, Oakdale, MN 55128

10 Exchange Place, Jersey City, NJ 07302

877 Executive Center Drive West, St. Petersburg, FL 33702

12325 Port Grace Boulevard, La Vista, NE 68128

Role Type: Full-Time (Hybrid/Remote)

Summary:

The Sr. Surveillance Analyst will complete Field Advisor and product activity-based reviews. This position reports to the Manager of Surveillance.

Responsibilities:

• Reviews financial professionals’ books of business for common risks and regulatory issues.
• 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, and Senior Management teams for review and follow-up.
• Assist the Surveillance manager in creating and editing Surveillance and Written Supervisory Procedures.
• Lead additional projects and regulatory requests as necessary.
• Conducts Quality Assurance of analyst deliverables for professional financial profiles and Activity Based Reviews.
• SME for all Surveillance report IT/QA/UAT testing
• Train new/current Surveillance Analysts
• All other duties as assigned

Education Requirements:

• Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered instead of a degree. A minimum high school diploma or equivalent is required.

Basic Requirements:

• Three to five 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 is 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 is preferred.

Experience as an independent broker-dealer

At Advisor Group, we support financial professionals across the nation, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.