Compliance Surveillance Analyst

Compliance Opportunity in Financial Services

Compliance Surveillance Analyst

Location(s):

Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339

La Vista:12325 Port Grace Blvd, La Vista, NE 68128

Oakdale: 7755 3rd St. N, Oakdale, MN 55128

Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702

Osaic is not considering remote candidates at this time.

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.

Role Type: Full-time

Salary: $60,000 - $70,000 per year + annual bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page:https://careers.osaic.com/Creative/Benefits.

Summary:

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.

Education Requirements:

• Bachelor's degree preferred, high school diploma (or equivalent) in combination withsignificant experiencewill be considered in lieu of degree.Minimumofhighschool diploma or equivalent isrequired.

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.

Basic 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 isrequired.
• 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.

Preferred Requirements:

• 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