Job Description
About the position
We are seeking a detail-oriented and analytical Compliance Surveillance Analyst to join our Compliance team. In this role, you will help ensure Osaic maintains a strong supervisory framework by monitoring, identifying, and escalating potential compliance risks. This is an opportunity to contribute to a critical function that safeguards our advisors, clients, and the firm. The ideal candidate thrives in a fast-paced environment and is passionate about regulatory compliance and risk mitigation.
- Responsibilities
- Conduct ongoing surveillance of trading activity, communications, and other transactional data to identify potential compliance violations.
- Review alerts and escalate issues requiring further investigation or supervision.
- Document findings clearly and concisely in accordance with firm procedures.
- Assist with regulatory inquiries and internal audits related to surveillance.
- Partner with Compliance leadership to enhance surveillance rules, models, and workflows.
- Support the development and implementation of new monitoring tools and technologies.
- Stay current on industry regulations (FINRA, SEC) and apply them to daily monitoring activities.
- Requirements
- 1–3 years of experience incompliance, risk management, surveillance, or a related field.
- Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, insurance products and bonds is required.
- Strong analytical skills with the ability to identify patterns and anomalies.
- Excellent written communication and documentation skills.
- Ability to work independently while managing multiple priorities.
- Proficiency with Microsoft Excel, Word, and data-driven systems.
- High level of integrity and discretion when handling confidential information.
- Nice-to-haves
- Experience in broker-dealer or financial services compliance.
- FINRA licenses (e.g., SIE, Series 7, Series 24) and/or insurance license a plus.
- Familiarity with broker dealer compliance surveillance systems
- Benefits
- health
- vision
- dental insurance
- 401k
- paid time away
- volunteer days
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