Sr. Compliance Analyst, Surveillance
As a member of the Surveillance team, the successful candidate will assist the firm in mitigating certain risk conditions associated with client accounts and financial advisor activities. Utilizing a variety of software applications and reports, the Analyst will perform functions and analysis to enable the firm’s achievement of high levels of compliance with industry regulations and company policies.
To perform this job successfully, individual must be able to perform each essential duty satisfactorily:
- Exhibit a subject matter expertise and depth of knowledge regarding basic regulatory requirements and surveillance responsibilities.
- Ability to conduct escalated complex analysis.
- Meet predetermined goals for both team & individual assignments based on both quality and volume of work completed.
- Communicate with financial advisors and Manager to resolve and document issues and resolutions.
- Collaborate with team members and other internal staff to develop enhanced tools and techniques.
- Assist in completing document requests from FINRA, SEC, state securities boards, as well as internal auditors or legal department.
- Other compliance-related projects and tasks as assigned by the Surveillance Manager.
- Exhibit the subject matter expertise necessary for higher level risk decisions, developing solutions or strategies for addressing risk issues.
- Identify and problem solve systemic or efficiency issues, potentially across departments.
- Lead cross-departmental projects.
- Sound understanding of Broker/Dealer and Investment Advisory regulations.
- Holistic communication style, balancing a service approach with business requirements.
- Detail oriented with strong organization & time management skills.
- Strong team player and occasional a point of escalation from other team members.
- Capable of handling a higher level of volume or projects than the basic Analyst role.
- Proficient with Microsoft Office applications and ability to learn other internal applications.
- 3+ years’ experience in financial services, preferably within a Broker-Dealer environment.
- Compliance experience preferred.
- College degree preferred, preferably in finance, economics or business.
- Series 7 required.
- Series 24 required or must be obtained within 90 days of hire.
- Series 63 required.
- Series 65 or Series 66 preferred.
A brand new state of the art building in Southwest Austin with a basketball court, volleyball court, baseball field, walking trails, unlimited coffee, tea, and sparkling water.
Full health, vision, dental, 401(k) plans along with a host of voluntary plans such as car insurance, legal services, and more.