Surveillance Senior Compliance Analyst (FINRA licenses required)
Responsibilities
Review and analyze current policies and procedures; identify, recommend, and implement new and/or enhanced practices.
Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives.
Review and analyze trades and trade data for potential risks/patterns of potential misconduct, trends and/or improper processing.
Identify potential risks and identify reports/processes/systems to review, eliminate and/or mitigate those risks.
Develop, produce, and maintain reports/summaries to demonstrate surveillance and risk mitigation performed.
Develop ways to improve and/or automate current surveillance reports/reviews and enhance overall process efficiency/effectiveness.
Compile information for completion of reporting, including reports for management and state/federal regulators. With minimum supervision perform analysis, identify trends and follow up on opportunities for enhancement.
Manage, oversee and analyze reports from third-parties (e.g., product providers, sub advisors, audit firms, etc.).
Perform surveillance functions to ensure compliance with current state and/or federal regulations.
As needed, conduct internal broker/dealer 3120 and registered investment advisor 206(4)-7 annual testing and assist in creating, drafting, and compiling annual reports related to firm testing.
Update and maintain complete and accurate policies, procedures, compliance logs or files, to include all surveillance/testing/sampling records related to the firm’s surveillance and annual testing.
Assist team members with research, assigned tasks and provide training as needed.
Completes ad hoc tasks as needed by management.
Qualifications
Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.
Four years of securities regulatory compliance experience.
Must have a general knowledge of insurance and securities laws, regulations, rules, etc.
Must have in-depth knowledge of securities and insurance products.
FINRA licensing (Series 7 & 24) required.
Exemplary written and verbal communication skills.
Analytical skills and the ability to perform complex research required.
Proficiency using MS Office tools.
Strong proficiency using Excel.
Preferred Qualifications
Areas of experience desired may vary based upon assigned compliance functions and may include contract development, claims, underwriting, legal research, fraud or anti-money laundering investigations and/or communications.
FINRA licensing (Series 65/66) is preferred.
Working Conditions
Office environment
Remote working environment
Compensation
The US salary for this position generally ranges between $75,000 - $85,000 annually. This range is an estimate, based on potential employee qualifications and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.
Additionally in the US, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.