Surveillance Analyst

Yesterday

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Atria Wealth Solutions

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Independent Broker/Dealer • Independent Advisors • Financial Services • Financial Planning • Wealth Management Firm Growth Consultants

201 - 500

Description

• Perform trade surveillance reviews • Monitor daily surveillance reports using exception reports • Review trade alerts and raise findings • Analyze exception report data for trending purposes • Assist with inquiries and exams, review electronic communications • Maintain compliance books and records • Develop annual test plans • Identify issues and develop action plans • Follow up on issues and track remediation

Requirements

• 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