Sr. Compliance Analyst, Surveillance

Austin, Texas, United States · Compliance


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:



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.

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