Senior Surveillance Analyst - IA Licensed

Job Summary

To enhance risk management practices, the full-time Senior Surveillance Analyst - IA Licensed will lead risk-based surveillance of broker-dealer and investment adviser activities, investigating alerts and collaborating with teams to address regulatory risks while working remotely.

Key responsibilities

• Lead risk-based surveillance reviews to identify suitability, fiduciary, and policy concerns
• Investigate and resolve complex surveillance alerts related to trading and advisory activities
• Analyze surveillance data to identify emerging risks and communicate insights to leadership

Required qualifications

• Bachelor's degree or equivalent experience
• 6+ years in broker-dealer or investment adviser surveillance, supervision, or compliance
• Required licenses: Series 7, 24, and 66 (or 63/65); Series 4 and/or 53 preferred
• Strong knowledge of FINRA rules, Regulation Best Interest, and SEC fiduciary standards
• Proven ability to analyze data and influence outcomes through sound judgment