Hybrid Financial Compliance Surveillance Analyst

Osaic; Atlanta (GA); 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

Osaic is seeking a Surveillance Analyst in a hybrid-capable role based in one of our hubs, including Atlanta. The position focuses on field advisor and product activity reviews and reports to the Compliance Manager.

Candidates should have 2–3 years in financial securities and strong MS Office skills. Salary ranges from $50,000 to $56,000 plus annual bonus, with eligibility based on location, skills, licensure, and education.

Qualifications

• 2–3 years of experience in the financial securities industry is required.
• Proficiency with MS Office and Word; MS Excel is a must.
• Knowledge of retail brokerage products including mutual funds, variable annuities, alternative investments, stocks and bonds.

Responsibilities

• Reviews financial professionals' book of business for risks and regulatory issues.
• Conduct ongoing surveillance of trading activity, communications, and data to identify potential compliance violations.
• Review alerts and escalations requiring further investigation or supervision.
• Creates trend summaries showing negative trends such as high rates of var. annuity replacements or mutual fund concerns.
• Delivers trend summaries to Internal Supervision, Compliance, Branch Office Examinations and Senior Management.
• Participates in creation and issuance of Compliance Manuals and Written Procedures.
• All other duties as assigned.

Skills

MS Office proficiency

Excel proficiency

Regulatory compliance knowledge

Analytical thinking

Attention to detail

Strong communication

Education

Bachelor's degree preferred

High school diploma or equivalent required

Tools

MS Office

MS Excel

Job description

Osaic is seeking a Surveillance Analyst in a hybrid-capable role based in one of our hubs, including Atlanta. The position focuses on field advisor and product activity reviews and reports to the Compliance Manager.

Candidates should have 2–3 years in financial securities and strong MS Office skills. Salary ranges from $50,000 to $56,000 plus annual bonus, with eligibility based on location, skills, licensure, and education.