Financial Compliance Surveillance Analyst

Osaic; Saint Petersburg (FL); Hybrid; USD 50,000 - 56,000; Full time

Benefits offered by this job

Health insurance

401k

Paid time off

Volunteer days

Job summary

Osaic is seeking a Surveillance Analyst to perform field-advisor and product activity-based reviews, reporting to the Compliance Manager. The role supports a hybrid in-office schedule across multiple hubs and requires regulatory know-how in financial services.

Ideal candidates bring 2–3 years in securities, strong data analysis, and proficiency with MS Office and Excel. A degree is preferred but significant experience may suffice.

Qualifications

• Two to three years of experience in the financial securities industry.
• Proficient with MS Office; MS Excel required.
• Knowledge of retail brokerage and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds.
• Ability to analyze large amounts of trade data and to think through complex Compliance issues.
• FINRA Series 7 and Series 24 preferred.
• Insurance license preferred.
• 2+ years' regulatory experience.
• Experience at an independent broker-dealer.

Responsibilities

• 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 escalat 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.

Skills

Analytical thinking

Detail-oriented

Communication skills

Data analysis

Education

Bachelor's degree preferred

High school diploma or equivalent

Tools

MS Office

MS Excel

Job description

Osaic is seeking a Surveillance Analyst to perform field-advisor and product activity-based reviews, reporting to the Compliance Manager. The role supports a hybrid in-office schedule across multiple hubs and requires regulatory know-how in financial services.

Ideal candidates bring 2–3 years in securities, strong data analysis, and proficiency with MS Office and Excel. A degree is preferred but significant experience may suffice.