Financial Surveillance Analyst – Compliance Focus

Osaic; Scottsdale (AZ); Hybride; USD 50 000 - 56 000; Plein temps

Avantages offerts par ce poste

Health insurance

Vision insurance

Dental insurance

401k

Paid time away

Volunteer days

Résumé du poste

Osaic is seeking a Surveillance Analyst in a hybrid, office-centric role centered in our Scottsdale hub. The position focuses on completing field advisor and product activity-based reviews and supporting the Compliance Manager in daily oversight of regulatory controls.

The candidate will review trading activity, alerts, and data to identify potential violations, while collaborating with senior teams. A bachelor’s degree is preferred, with FINRA licenses and brokerage knowledge highly valued.

Qualifications

• Two to three 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.
• FINRA Series 7 required.
• 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 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.

Responsabilités

• 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 elevate 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.

Connaissances

MS Office Proficiency

Excel Proficiency

Analytical thinking

Effective communication

Attention to detail

Formation

Bachelor’s degree preferred

High school diploma required

Outils

MS Office

Excel

Word

FINRA Manual

Sales Practice Manual

Description du poste

Osaic is seeking a Surveillance Analyst in a hybrid, office-centric role centered in our Scottsdale hub. The position focuses on completing field advisor and product activity-based reviews and supporting the Compliance Manager in daily oversight of regulatory controls.

The candidate will review trading activity, alerts, and data to identify potential violations, while collaborating with senior teams. A bachelor’s degree is preferred, with FINRA licenses and brokerage knowledge highly valued.