State Licensed Surveillance Analyst

Job Summary

A company is looking for a Surveillance Analyst to assist in mitigating risk conditions associated with client accounts and financial advisor activities.

Key Responsibilities

• Meet team and individual goals based on quality and volume of work
• Communicate with financial advisors and managers to resolve and document issues
• Investigate and escalate regulatory and policy exceptions in accordance with firm procedures

Required Qualifications

• 3+ years of experience in financial services, preferably in an RIA and/or Broker-Dealer environment
• Compliance experience preferred
• College degree preferred, ideally in finance, economics, or business
• Series 7, 63, and 24 licenses required; Series 65 or 66 preferred