Brokerage Surveillance Analyst
$55,000–$60,000 year
HybridDuluth, Georgia, United States
Job Summary
Conduct daily surveillance and monitoring of exception reports to identify sales practice issues, red flags, and unusual activity within brokerage accounts. Collect transactional and account information using internal tracking systems to summarize findings and diagnose potential violations of firm policies or regulatory rules. Communicate complex securities topics and account activity to senior management in digestible formats while applying judgment to recommend resolutions for compliance pitfalls. Establish cases requiring comprehensive research, including discussions with representatives, branch managers, and clients, which may result in settlements or disciplinary action. Utilize internal and third-party systems to research purchase and redemption activity, ensuring adherence to SEC, FINRA, and MSRB rules while educating the sales force on best practices.
Required Qualifications
- Bachelor's degree or equivalent experience in the investment industry
- SIE license
- Series 6 license
- Series 26 license
- Series 7 license
- Series 24 license
- Intermediate knowledge of PC and Microsoft Office Word/Excel
- Strong working knowledge of brokerage products and brokerage product suitability
- Knowledge of SEC, FINRA, MSRB rules and their applicability
- Excellent organizational skills with the ability to handle multiple high priority projects with attention to details
- Detail-oriented with aptitude for identifying risk
- Strong decision-making, investigative, and analytical skills
- Problem-solving and critical-thinking skills
- Highly proficient computer skills, including the use of MS Word, Excel, PowerPoint, data management programs, and CRMs
- Excellent communication and presentation skills
- Ability to identify and recommend resolutions for compliance pitfalls, including suitability, selling away, outside business activities, anti-money laundering, elderly, diminished capacity and commission systems
- Candidate must be local and be available to work both onsite and remotely during the week
- Monday-Friday: 8am - 5pm
Desired Qualifications
- A lifelong learner who enjoys growing from experiences and bringing ideas to the table
- A positive outlook with a strong desire to help others
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