Compliance Risk Opportunity in Financial Services
Senior Surveillance Analyst
Location(s):
Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339
La Vista: 12325 Port Grace Blvd, La Vista, NE 68128
Oakdale: 7755 3rd St. N, Oakdale, MN 55128
Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702
Osaic is not considering remote candidates at this time.
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.
Role Type: Full-time
Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.
Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits.
Summary:
The Senior Surveillance Analyst plays a critical role in ensuring compliance with regulatory standards and internal policies by conducting comprehensive reviews of Field Advisor activities and product-related transactions. This position is responsible for identifying potential risks, detecting patterns of misconduct, and escalating issues that may impact the firm’s integrity or client trust. The analyst will leverage advanced surveillance tools, data analytics, and investigative techniques to monitor advisor behavior and product suitability, providing actionable insights to mitigate risk. The role requires strong analytical skills, attention to detail, and the ability to interpret complex financial data within a fast-paced environment. The Senior Surveillance Analyst reports directly to the Manager of Surveillance and collaborates closely with Compliance, Risk Management, and other business units to maintain a robust supervisory framework.
Education Requirements:
Copy from options below appropriate for your role
Education option examples:
Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.
Responsibilities:
Reviews financial professionals book of business for common risks and regulatory issues.
Creates representative summaries detailing negative trends including high rates of variable annuity replacements, mutual fund B-share and C-share concerns, high rates of mutual fund switching, alternative investment liquidity issues, etc.
Delivers trend summaries to Internal Supervision, Compliance and Senior Management teams for review and follow up.
Assist Surveillance manager in the creation and editing of Surveillance procedures and Written Supervisory Procedures.
Lead additional projects and regulatory requests and necessary.
Conducts Quality Assurance of analyst deliverables for financial professional profiles and Activity Based Reviews.
SME for all Surveillance report IT/QA/UAT testing
Train new/current Surveillance Analysts
All other duties as assigned
Basic Requirements:
Three to five years of experience in the financial securities industry is required.
Must be proficient with MS Office and Word. Proficiency with MS Excel is a must.
Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds is required. (Additional knowledge in variable annuities and mutual funds strongly preferred.)
Ability to analyze large amounts of trade data and to think through complex Compliance issues.
Must be detail-oriented, investigative and have the ability to handle a high volume of work independently.
Ability to interpret the Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation
Effective communication skills, both written and verbal.
Preferred Requirements:
FINRA Series 7 required, 24 preferred.
Insurance license preferred
2+ years’ regulatory experience is preferred.
Experience at an independent broker-dealer is preferred
Similar Jobs
.png)
What We Do
Osaic provides the support, resources, and community designed for the future of wealth management. Securities and investment advisory services are offered through the firms: Osaic Wealth, Inc., Osaic Institutions, Inc., Osaic FA, Inc., Osaic FS, Inc., and Triad Advisors, LLC, broker-dealers, registered investment advisers, and members of FINRA and SIPC. Securities are offered through Securities America, Inc., American Portfolios Financial Services, Inc., Osaic Services Inc., and Ladenburg Thalmann & Co., broker-dealers and member of FINRA and SIPC. Advisory services are offered through Arbor Point Advisors, LLC, American Portfolios Advisors, Inc., Ladenburg Thalmann Asset Management, Inc., Osaic Advisory Services, LLC, and Securities America Advisors, Inc., registered investment advisers. Advisory programs offered by Osaic Wealth, Inc., Securities America Advisors, Inc., and Triad Advisors, LLC., are sponsored by VISION2020 Wealth Management Corp., an affiliated registered investment adviser.
