Hybrid Financial Compliance Surveillance Analyst

Advisor Group Inc.; Atlanta (GA); Hybrid; USD 50,000 - 56,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time off

Volunteer days

Job summary

Advisor Group Inc. is seeking a Surveillance Analyst to perform field advisor and product activity reviews, reporting to the Compliance Manager.

The role requires analyzing trading activity, reviews of accounts for regulatory issues, and generating trend summaries for internal teams. The ideal candidate has 2–3 years in financial securities, strong MS Office and Excel skills, and knowledge of mutual funds, variable annuities, and other investments.

Qualifications

• Two to three years of experience in the financial securities industry is required.
• Proficiency with MS Office and Word; MS Excel is essential.
• Knowledge of retail brokerage products (mutual funds, variable annuities, stocks, bonds) preferred.

Responsibilities

• Reviews financial professionals’ book of business for risks and regulatory issues.
• Conduct ongoing surveillance of trading activity and communications to identify potential violations.
• Review alerts and elevate issues requiring further investigation or supervision.
• Create trend summaries for Internal Supervision, Compliance, Branch Office Examinations and Senior Management.
• Contribute to creation of Compliance Manuals and Written Procedures.

Skills

MS Office proficiency

MS Excel proficiency

Analytical mindset

Attention to detail

Communication skills

Education

Bachelor's degree preferred

Tools

MS Word

MS Excel

Job description

Advisor Group Inc. is seeking a Surveillance Analyst to perform field advisor and product activity reviews, reporting to the Compliance Manager.

The role requires analyzing trading activity, reviews of accounts for regulatory issues, and generating trend summaries for internal teams. The ideal candidate has 2–3 years in financial securities, strong MS Office and Excel skills, and knowledge of mutual funds, variable annuities, and other investments.