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Surveillance Analyst at Osaic - ApplyBlast

Surveillance Analyst

Osaic

1 month ago

2.6 on Glassdoor

Atlanta, Georgia, United States

Hybrid

Full Time

Medior

0 applicants

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About this role

The Surveillance Analyst is responsible for completing Field Advisor and product activity-based reviews within the financial services sector. This role involves conducting ongoing surveillance of trading activity and communications to identify potential compliance violations and escalating issues for further investigation. The position reports to the Compliance Manager and requires proficiency in analyzing trade data and interpreting regulatory manuals.

Responsibilities

Conduct ongoing surveillance of trading activity and communications to identify compliance violations
Review financial professionals' book of business for common risks and regulatory issues
Create representative summaries detailing negative trends and deliver to management teams

Skills

Qualifications

FINRA Series 7FINRA Series 24

About Osaic

osaic.com

Headquarters

Scottsdale, Arizona, United States

Company Size

1001-5000 employees

Founded

2016

View Profile

Osaic is one of the nation’s largest providers of wealth management solutions and home to a service-driven community of Financial Professionals. The moments our Advisors create with clients inspire us and shape our strategy to empower their success.