As a Compliance Surveillance Analyst, you will play a critical role in ensuring regulatory compliance within our organization. Your responsibilities will include reviewing new business for suitability, conducting brokerage and advisory surveillance, and compiling comprehensive surveillance reports. You will be tasked with identifying red flags and providing valuable insights to support our compliance efforts.
Job Responsibilities:
Review new business for suitability and best interest across a diverse range of financial products, including fixed, indexed, and variable annuities, mutual funds, structured products, alternative investments, equity, ETFs, bonds, and UITs.
Conduct thorough brokerage and advisory surveillance to maintain compliance standards.
Generate and upload NetX360 Pershing exception reports for review.
Process compliance documentation onto spreadsheets and meticulously review compliance surveillance spreadsheets.
Provide detailed red flags for further review and analysis.
Perform any additional duties assigned by the supervisor.
Qualifications:
Securities licenses required: Series 7, Series 24. Series 63 preferred.
Fingerprinting required.
Knowledge, Skills, and Abilities:
Demonstrated ability to meet deadlines while maintaining a high level of attention to detail.
Self-motivated individual with exceptional writing and interpersonal skills.
Proficiency in Microsoft Office products and strong computer skills.
Ability to effectively collaborate with team members in a dynamic environment.
Familiarity with standard office equipment.
Working Conditions:
Extended periods of sitting.
Ability to work in an open office environment.
Physical Requirements:
Walking, sitting, lifting, pushing, pulling, and typing.
Ability to exert up to 50 pounds of force occasionally, and/or a negligible amount of force frequently.
Salary: $70,000 - $75,000 base
All qualified applicants will receive consideration for employment without regard to race, color, national origin, age, ancestry, religion, sex, sexual orientation, gender identity, gender expression, marital status, disability, medical condition, genetic information, pregnancy, or military or veteran status. We consider all qualified applicants, including those with criminal histories, in a manner consistent with state and local laws, including the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance.