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Osaic · 1 day ago

Senior Surveillance Analyst

La Vista, NE

Contract

Hybrid

Mid, Senior Level

$90K/yr - $105K/yr

3+ years exp

Osaic is a company in the financial services sector, seeking a Senior Surveillance Analyst. This role is critical in ensuring compliance with regulatory standards by conducting reviews of advisor activities and transactions, identifying risks, and providing insights to mitigate potential issues.

Business DevelopmentFinancial ServicesWealth Management

No H1B

U.S. Citizen Only

Responsibilities

Reviews financial professionals book of business for common risks and regulatory issues

Creates representative summaries detailing negative trends including high rates of variable annuity replacements, mutual fund B-share and C-share concerns, high rates of mutual fund switching, alternative investment liquidity issues, etc

Delivers trend summaries to Internal Supervision, Compliance and Senior Management teams for review and follow up

Assist Surveillance manager in the creation and editing of Surveillance procedures and Written Supervisory Procedures

Lead additional projects and regulatory requests and necessary

Conducts Quality Assurance of analyst deliverables for financial professional profiles and Activity Based Reviews

SME for all Surveillance report IT/QA/UAT testing

Train new/current Surveillance Analysts

All other duties as assigned

Qualification

Financial securities experienceData analysisRegulatory compliance knowledgeMS Excel proficiencyCommunication skillsInvestigative skillsInsurance licenseFINRA Series 7Detail-orientedWork independently

Required

Minimum of high school diploma or equivalent is required

Three to five years of experience in the financial securities industry is required

Must be proficient with MS Office and Word

Proficiency with MS Excel is a must

Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds is required

Ability to analyze large amounts of trade data and to think through complex Compliance issues

Must be detail-oriented, investigative and have the ability to handle a high volume of work independently

Ability to interpret the Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation

Effective communication skills, both written and verbal

Preferred

Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree

Additional knowledge in variable annuities and mutual funds strongly preferred

FINRA Series 7 required, 24 preferred

Insurance license preferred

2+ years' regulatory experience is preferred

Experience at an independent broker-dealer is preferred