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Surveillance Analyst

Remote:

Full Remote

Contract:

Full time

Experience:

Mid-level (2-5 years)

Work from:

United States

Offer summary

Qualifications:

Bachelor's degree or 2+ years in compliance, 2+ years of financial services experience, FINRA series 7, 24 and 63 (or 65) licenses required or ability to complete within 6 months, Strong analytical and problem-solving skills, Excellent interpersonal and communication skills.

Key responsabilities:

Conduct trade surveillance reviews and monitor reports
Analyze exception report data for trends
Lead reviews according to risk and plans
Coordinate with management on inquiry responses
Maintain compliance documentation and records

Atria Wealth Solutions Financial Services Scaleup https://atriawealth.com/

201 - 500 Employees

See more Atria Wealth Solutions offers

Job description

Atria Wealth Solutions, Inc. (Atria) is a wealth management solution holding company focused on delivering a clear path to the future of financial advice for financial professionals, financial institutions, and their clients. Headquartered in New York City, Atria’s broker-dealer and investment adviser subsidiaries empower financial institutions and independent financial professionals with a sophisticated set of tools, services, and capabilities that deepen client relationships and maximize efficiencies in their practices.

We are looking for an Account Specialist to join our amazing tech team. To achieve success this position will need to have a strong communication skillset, attention to detail, and a persistent follow-through attitude.

Location: This position may be done HYBRID out of one the following home office locations or fully remote:

San Diego, CA: 10150 Meanley Drive, San Diego 92131
Fully Remote - USA

Compensation: 36,000 – 40,000

POSITION SUMMARY:
The Compliance Surveillance Analyst will perform the assigned functions, as outlined below, and conduct monitoring and testing across various lines of business, functions, and operating departments.

PRINCIPAL DUTIES AND RESPONSIBILITIES: (explain fully)

General trade surveillance reviews, with a focus on potential sales practice exceptions
Monitor daily surveillance reports using exception reports and other tools
Review trade alerts and raise findings as needed
Analyze exception report data for trending purposes
Other assignments will include assisting with inquiries and exams, review of electronic communications
Undertake special compliance-related projects as assigned
Maintain accurate and organized compliance books and records
Assist in the development of annual test plans based on business and regulatory priorities
Lead and /or perform targeted reviews according to risk and annual test plan
Identify issues and work with accountable owners to develop action plans and report the results
Follow up on the issues and action plans and track the status of remediation and report results
Perform ongoing monitoring of sales practice and supervision, operations, trading, cashiering function, etc.;
Reporting and tracking of surveillance metrics
Respond to individual inquiries/issues from the management as it relates to surveillance monitoring and testing functions, etc.
Function as a liaison with senior compliance functional leads to facilitate collaboration across the enterprise
Conduct other related tasks to support compliance surveillance, monitoring and testing

EDUCATION, SKILLS, AND EXPERIENCE:

Bachelor’s degree or 2+ years of compliance experience
2+ years of financial services experience
FINRA series 7, 24 and 63 (or 65) licenses required or ability to acquire in 6 months
Strong analytical and problem-solving skills
Excellent interpersonal and communication skills
Possess adaptability/flexibility and organizational sense
Able to work collaboratively with the team