Advisory Compliance Surveillance Analyst
Job Description
The Compliance Surveillance Analyst will perform the assigned functions, as outlined below, and conduct monitoring and testing across various lines of business, functions, and operating departments. This role is fully remote.PRINCIPAL DUTIES AND RESPONSIBILITIES:
*General trade surveillance reviews, with a focus on potential sales practice exceptions
*Monitor daily surveillance reports using exception reports and other tools
*Review trade alerts and raise findings as needed
*Analyze exception report data for trending purposes
*Other assignments will include assisting with inquiries and exams, review of electronic communications
*Undertake special compliance-related projects as assigned
*Maintain accurate and organized compliance books and records
*Assist in the development of annual test plans based on business and regulatory priorities
*Lead and /or perform targeted reviews according to risk and annual test plan
*Identify issues and work with accountable owners to develop action plans and report the results
*Follow up on the issues and action plans and track the status of remediation and report results
*Perform ongoing monitoring of sales practice and supervision, operations, trading, cashiering function, etc.;
*Reporting and tracking of surveillance metrics
*Respond to individual inquiries/issues from the management as it relates to surveillance monitoring and testing functions, etc.
*Function as a liaison with compliance functional leads to facilitate collaboration across the enterprise
*Conduct other related tasks to support compliance surveillance, monitoring and testing
*Qualifications:*
*Bachelor's degree or 2+ years of compliance experience
*2+ years of financial services experience
*FINRA series 7, 24 and 66 (or 65 and 63) licenses required for this position.
*Strong analytical and problem-solving skills
*Excellent interpersonal and communication skills
*Possess adaptability/flexibility and organizational sense
*Able to work collaboratively with the team
INTERNAL AND EXTERNAL RELATIONSHIP AND LEVEL OF INTERACTION:
*High level of interaction with compliance management.
*High level of interaction with advisors, principals and staff.
*Pay and Benefits*
The pay range for this position is $40.00 - $45.00
Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following:
* Medical, dental & vision
* Critical Illness, Accident, and Hospital
* 401(k) Retirement Plan - Pre-tax and Roth post-tax contributions available
* Life Insurance (Voluntary Life & AD&D for the employee and dependents)
* Short and long-term disability
* Health Spending Account (HSA)
* Transportation benefits
* Employee Assistance Program
* Time Off/Leave (PTO, Vacation or Sick Leave)
*Workplace Type*
This is a fully remote position.
*Application Deadline*
This position will be accepting applications until Dec 28, 2024.
About TEKsystems:
We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
*Please mention you saw this ad on AsiansInCareers.*
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