Financial Compliance Surveillance Analyst (Hybrid)

Osaic; Oakdale (MN); Hybrid; USD 50,000 - 56,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time away

Volunteer days

Job summary

The Surveillance Analyst at Osaic will conduct field advisor and product activity-based reviews under the Compliance Manager. You will assess trading activity, alerts, and risk indicators to identify potential violations.

Role requires a Bachelor’s degree or equivalent experience, 2–3 years in financial securities, and strong MS Excel/Word skills. Hybrid in-office schedule at multiple hubs, with a preference for candidates located near Oakdale MN hub.

Qualifications

• Two to three years of experience in the financial securities industry.
• Proficiency with MS Excel; proficiency with MS Word.
• Knowledge of the retail brokerage business and common investment products (mutual funds, variable annuities, alternative investments, stocks, bonds).
• Ability to analyze large amounts of trade data and think through complex Compliance issues.
• Must be detail-oriented, investigative, and able to handle a high volume of work independently.
• Ability to interpret FINRA manuals and Compliance notices.

Responsibilities

• Reviews financial professionals' book of business for common risks and regulatory issues.
• Conduct ongoing surveillance of trading activity, communications, and other data to identify potential compliance violations.
• Review alerts and elevate issues requiring further investigation or supervision.
• Create representative summaries detailing negative trends (e.g., high rates of VA replacements, mutual fund concerns).
• Deliver trend summaries to Internal Supervision, Compliance, Branch Office Examinations and Senior Management for review and follow-up.
• Participate in creation and issuance of Compliance Manuals, Written Procedures and Compliance Communications.
• All other duties as assigned.

Skills

Analytical thinking

Attention to detail

Communication skills

Education

Bachelor's degree preferred

High school diploma required

Tools

MS Excel

MS Word

MS Office suite

Job description

The Surveillance Analyst at Osaic will conduct field advisor and product activity-based reviews under the Compliance Manager. You will assess trading activity, alerts, and risk indicators to identify potential violations.

Role requires a Bachelor’s degree or equivalent experience, 2–3 years in financial securities, and strong MS Excel/Word skills. Hybrid in-office schedule at multiple hubs, with a preference for candidates located near Oakdale MN hub.