Surveillance Analyst – Financial Services Compliance

About the role

Osaic is hiring a Surveillance Analyst in Atlanta, Georgia, within its financial services compliance team. The analyst completes field advisor and product activity-based reviews and reports to the Compliance Manager. The role is full-time, pays $50K-$56K per year plus an annual performance-based bonus, and requires a hybrid schedule of at least four days per week in the office.

Key responsibilities

• Review financial professionals' books of business for common risks and regulatory issues.
• Conduct ongoing surveillance of trading activity, communications and other transactional data to spot potential compliance violations.
• Review alerts and escalate issues needing further investigation or supervision.
• Create summaries of negative trends such as high rates of variable annuity replacements, mutual fund B-share and C-share concerns, mutual fund switching and alternative investment liquidity issues.
• Deliver trend summaries to Internal Supervision, Compliance, Branch Office Examinations and Senior Management.
• Take part in creating and issuing Compliance Manuals, Written Procedures and Compliance Communications.

Required profile

• Bachelor's degree preferred; a high school diploma or equivalent with significant experience is considered instead.
• Two to three years of experience in the financial securities industry.
• FINRA Series 7 required; Series 24 and an insurance license preferred.
• Knowledge of retail brokerage and common investment products (mutual funds, variable annuities, alternative investments, stocks and bonds); additional knowledge of variable annuities and mutual funds strongly preferred.
• Ability to interpret the Sales Practice Manual, FINRA manual, FINRA Notices to Members and other broker-dealer regulation publications.

Required skills

• Proficiency with MS Office and Word; MS Excel proficiency is a must.
• Ability to analyze large volumes of trade data and handle complex compliance issues.
• Detail-oriented, investigative and able to work independently with a high volume of work.
• Effective written and verbal communication.

What we offer

• Health, vision and dental insurance, 401k, paid time away and volunteer days.
• Annual performance-based bonus.