Surveillance & Compliance Data Analyst

Janney Montgomery Scott LLC; Philadelphia (Philadelphia County); On-site; USD 90,000 - 130,000; Full time

Job summary

Janney Montgomery Scott LLC is seeking an analytical professional to assess compliance with regulations and policies by analyzing data from Firm records and other sources. You will support governance of investment activity and risk management while working across business areas to enhance automation and workflow efficiency.

The role requires grasping complex concepts and understanding investment strategies, with interactions across Firm groups and ongoing policy updates.

Qualifications

• Bachelor's degree preferred or equivalent experience.
• FINRA Series 7 & 66 licenses preferred; or ability to obtain within 6 months.
• Minimum 3 years regulatory or brokerage experience in surveillance, inspections or branch supervision.
• Knowledge of securities laws and regulations for investment advisers and broker-dealers.
• Knowledge of Thomson Reuters BETA platform and/or ProSurv is a plus.
• Familiarity with broker-dealer products (equities, options, fixed income, derivatives, annuities, and advisory services).

Responsibilities

• Review reports to highlight transactions or account conditions that appear exceptional.
• Conduct statistical analysis across compliance to identify unusual activity patterns.
• Improve operational efficiencies through automation and technology-driven solutions.
• Investigate transactions or account conditions using various online sources.
• Provide quantitative support to manage compliance risk across business areas.
• Basic administration, maintenance and testing of risk-based tech platforms (FIS Protegent, Global Relay).
• Collaborate with IT to document business requirements and ensure proper production implementations.
• Maintain records of issues, interactions with supervisors, and memorialize outcomes.
• Assist in researching and responding to SEC, FINRA, MSRB and other inquiries.
• Revise applicable compliance policies and procedures as needed.
• Collaborate on cross-departmental initiatives and special projects.
• Complete ad hoc assignments in compliance risk management and analytics.

Skills

Risk Identification

Communication

Technology Maintenance and Testing

Organization and Time Management

Research

Education

Bachelor's degree preferred or equivalent experience

Tools

MS Word

Excel

Thomson Reuters BETA

ProSurv

Job description

Janney Montgomery Scott LLC is seeking an analytical professional to assess compliance with regulations and policies by analyzing data from Firm records and other sources. You will support governance of investment activity and risk management while working across business areas to enhance automation and workflow efficiency.

The role requires grasping complex concepts and understanding investment strategies, with interactions across Firm groups and ongoing policy updates.