Hybrid Surveillance Analyst - Financial Compliance

Advisor Group; Scottsdale (AZ); Hybrid; USD 50,000 - 56,000; Full time

Job summary

Osaic is seeking a Surveillance Analyst in Scottsdale to perform field activity reviews and monitor trading activity for regulatory compliance. The role reports to the Compliance Manager and requires a strong background in financial services and risk assessment.

The position is full-time with a hybrid schedule, requiring a minimum of four days per week in the office across hubs. Bachelor’s degree preferred, with high school diploma acceptable with experience in lieu of degree.

Qualifications

• Two to three years of experience in the financial securities industry.
• Proficiency with MS Office and MS Excel required.
• Knowledge of retail brokerage products including mutual funds and annuities preferred.

Responsibilities

• Reviews financial professionals' book of business for risks and regulatory issues.
• Conduct ongoing surveillance of trading activity and communications to identify potential compliance violations.
• Review alerts and escalate issues for investigation or supervision.
• Create trend summaries highlighting negative patterns in client activity.
• Deliver trend summaries to management teams for review and follow-up.
• Participate in creating and issuing Compliance Manuals and Written Procedures.

Skills

MS Excel

MS Office

Attention to detail

Analytical skills

Communication skills

Education

Bachelor's degree preferred

High school diploma required

Job description

Osaic is seeking a Surveillance Analyst in Scottsdale to perform field activity reviews and monitor trading activity for regulatory compliance. The role reports to the Compliance Manager and requires a strong background in financial services and risk assessment.

The position is full-time with a hybrid schedule, requiring a minimum of four days per week in the office across hubs. Bachelor’s degree preferred, with high school diploma acceptable with experience in lieu of degree.