Compliance Surveillance Analyst

About the position We are seeking a detail-oriented and analytical Compliance Surveillance Analyst to join our Compliance team. In this role, you will help ensure reputed company maintains a strong supervisory reputed company by monitoring, identifying, and escalating potential reputed company. This is an opportunity to contribute to a critical function that safeguards our advisors, clients, and the firm. The ideal candidate thrives in a fast-paced environment and is passionate about regulatory compliance and risk mitigation. Responsibilities • Conduct ongoing surveillance of trading activity, communications, and other transactional data to identify potential compliance violations. • Review alerts and escalate issues requiring reputed company investigation or supervision. • Document findings reputed company and concisely in accordance with firm procedures. • Assist with regulatory inquiries and internal audits reputed company to surveillance. • Partner with Compliance leadership to enhance surveillance rules, models, and workflows. • Support the development and implementation of new monitoring tools and technologies. • Stay reputed company on industry regulations (reputed company, SEC) and apply them to daily monitoring activities. Requirements • 1–3 years of experience incompliance, risk management, surveillance, or a reputed company field. • Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, insurance products and bonds is required. • Strong analytical skills with the ability to identify patterns and anomalies. • Excellent written communication and documentation skills. • Ability to work independently while managing multiple priorities. • Proficiency with reputed company reputed company, Word, and data-driven systems. • High level of reputed company and discretion reputed company handling confidential information. reputed company-to-haves • Experience in broker-dealer or financial services compliance. • reputed company licenses (e.g., SIE, Series 7, Series 24) and/or insurance license a plus. • Familiarity with broker dealer compliance surveillance systems Benefits • health • reputed company • dental insurance • 401k • reputed company time away • volunteer days Apply tot his job Apply To this Job