Compliance Surveillance Analyst

OSTTRA Group; Philadelphia (Philadelphia County); On-site; USD 70,000 - 95,000; Full time

Benefits offered by this job

Paid Parental Leave

Paid Time Off

Employee Ownership

Referral bonus program

Professional Development Assistance

Job summary

Janney is seeking a Compliance Analyst in the Philadelphia area to analyze data from Firm records and other sources for regulatory compliance, suitability and account activity rationale. The role partners with IT and business units to improve automation and workflows and to support investigations with SEC/FINRA inquiries.

The position requires 3+ years in surveillance or brokerage, familiarity with securities regulations, and strong analytical communication skills.

Qualifications

• Bachelor's degree preferred or equivalent experience.
• Minimum 3 years regulatory or brokerage experience in surveillance, inspections or branch supervision.
• Knowledge of securities laws, rules and regulations applicable to investment advisers and broker-dealers.
• Excellent organizational, analytical and problem-solving skills.
• Outstanding written and verbal communication skills.

Responsibilities

• Review reports generated from various sources designed to highlight transactions or account conditions that appear to be exceptional in nature.
• Conduct statistical analysis of data across compliance to identify patterns of unusual activity in regards to compliance governance.
• Improve operational efficiencies through automation and technology-driven solutions.
• Investigate transactions or account conditions that appear to be exceptional in nature utilizing various online sources of information.
• Provide quantitative support to manage compliance risk across the various business areas of the firm.
• Basic administration, maintenance and testing of risk-based technology platforms including FIS Protegent and Global Relay.
• Work with the information technology group to document business requirements and to ensure methodologies are accurately implemented in production systems.
• Maintain records of issues requiring resolution, record interactions with supervisors and others, memorialize outcomes.
• Assist in researching and responding to SEC, FINRA, MSRB and other regulatory inquiries
• Revise applicable compliance policies and procedures on an as-needed basis
• Collaborate with colleagues on cross-departmental initiatives.
• Participate in and/or complete special projects, investigations or assignments.
• Complete ad hoc assignments in the general areas of compliance risk management and analytics.

Job description

Janney is seeking a Compliance Analyst in the Philadelphia area to analyze data from Firm records and other sources for regulatory compliance, suitability and account activity rationale. The role partners with IT and business units to improve automation and workflows and to support investigations with SEC/FINRA inquiries.

The position requires 3+ years in surveillance or brokerage, familiarity with securities regulations, and strong analytical communication skills.