Compliance Surveillance Analyst: Risk & Analytics

Janney-Montgomery-Scott-LLC; Philadelphia (Philadelphia County); On-site; USD 70,000 - 120,000; Full time

Benefits offered by this job

Paid Parental Leave

Paid Time Off

Referral bonus

Employee Ownership

Professional Development Assistance

Job summary

Janney Montgomery Scott LLC is seeking a compliance analytics professional to analyze data from firm records and other sources, assess regulatory compliance, and ensure adherence to suitability standards. The role involves basic administration of technology platforms, automation, and cross-department collaboration.

The candidate will review reports, perform statistical analyses, and support regulatory inquiries, with duties spanning governance, risk management, and process improvement.

Qualifications

• Bachelor's degree preferred or equivalent experience.
• FINRA Series 7 & 66 licenses preferred; or ability to obtain within 6 months of employment.
• 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.
• Knowledge of Thomson Reuters BETA platform; and/or ProSurv a plus.
• Knowledge of broker-dealer products, including equities, options, fixed income, derivatives, annuities, and investment advisory services preferred.

Responsibilities

• Review reports from various sources to identify transactions or account conditions that appear exceptional.
• Conduct statistical analysis of data across compliance to identify patterns of unusual activity.
• Improve operational efficiencies through automation and technology-driven solutions.
• Investigate transactions or account conditions using various online sources.
• Provide quantitative support to manage compliance risk across the firm.
• Administer, maintain and test risk-based technology platforms including FIS Protegent and Global Relay.
• Document business requirements with IT and ensure methodologies are implemented in production systems.
• Maintain records of issues and interactions with supervisors; memorialize outcomes.
• Assist in researching and responding to SEC, FINRA, MSRB and other regulatory inquiries.
• Revise applicable compliance policies and procedures as needed.
• Collaborate with colleagues on cross-departmental initiatives.
• Participate in special projects and ad hoc assignments.
• Complete tasks in the general area of compliance risk management and analytics.

Skills

Research skills

MS Word

Excel

Analytical thinking

Communication skills

Education

Bachelor's degree or equivalent experience

Tools

Thomson Reuters BETA

ProSurv

Job description

Janney Montgomery Scott LLC is seeking a compliance analytics professional to analyze data from firm records and other sources, assess regulatory compliance, and ensure adherence to suitability standards. The role involves basic administration of technology platforms, automation, and cross-department collaboration.

The candidate will review reports, perform statistical analyses, and support regulatory inquiries, with duties spanning governance, risk management, and process improvement.