Atria Wealth Solutions
Independent Broker/Dealer • Independent Advisors • Financial Services • Financial Planning • Wealth Management Firm Growth Consultants
Surveillance Analyst
November 13
🇺🇸 United States – Remote
💵 $65k - $75k / year
⏰ Full Time
🟢 Junior
🟡 Mid-level
🧐 Analyst
🦅 H1B Visa Sponsor
Atria Wealth Solutions
Independent Broker/Dealer • Independent Advisors • Financial Services • Financial Planning • Wealth Management Firm Growth Consultants
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
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