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 Osaic maintains a strong supervisory framework by monitoring, identifying, and escalating potential compliance risks. 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 further investigation or supervision.
• Document findings clearly and concisely in accordance with firm procedures.
• Assist with regulatory inquiries and internal audits related 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 current on industry regulations (FINRA, SEC) and apply them to daily monitoring activities.
Requirements
• 1–3 years of experience incompliance, risk management, surveillance, or a related 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 Microsoft Excel, Word, and data-driven systems.
• High level of integrity and discretion when handling confidential information.
Nice-to-haves
• Experience in broker-dealer or financial services compliance.
• FINRA licenses (e.g., SIE, Series 7, Series 24) and/or insurance license a plus.
• Familiarity with broker dealer compliance surveillance systems
Benefits
• health
• vision
• dental insurance
• 401k
• paid time away
• volunteer days
Apply tot his job
Apply To this Job
We are seeking a detail-oriented and analytical Compliance Surveillance Analyst to join our Compliance team. In this role, you will help ensure Osaic maintains a strong supervisory framework by monitoring, identifying, and escalating potential compliance risks. 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 further investigation or supervision.
• Document findings clearly and concisely in accordance with firm procedures.
• Assist with regulatory inquiries and internal audits related 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 current on industry regulations (FINRA, SEC) and apply them to daily monitoring activities.
Requirements
• 1–3 years of experience incompliance, risk management, surveillance, or a related 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 Microsoft Excel, Word, and data-driven systems.
• High level of integrity and discretion when handling confidential information.
Nice-to-haves
• Experience in broker-dealer or financial services compliance.
• FINRA licenses (e.g., SIE, Series 7, Series 24) and/or insurance license a plus.
• Familiarity with broker dealer compliance surveillance systems
Benefits
• health
• vision
• dental insurance
• 401k
• paid time away
• volunteer days
Apply tot his job
Apply To this Job