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Compliance Surveillance Specialist

2 months ago

San Diego, California, United States Atria Wealth Solutions Full time
Job Overview

Atria Wealth Solutions, Inc. is seeking a skilled Compliance Surveillance Analyst to join our team. As a key member of our compliance function, you will play a critical role in ensuring the integrity of our financial services operations.

Key Responsibilities
  • Conduct trade surveillance reviews to identify potential sales practice exceptions
  • Monitor daily surveillance reports and analyze exception report data for trending purposes
  • Review trade alerts and raise findings as needed
  • Assist with inquiries and exams, review of electronic communications, and special compliance-related projects
  • Maintain accurate and organized compliance books and records
  • Develop and lead targeted reviews according to risk and annual test plan
  • Identify issues and work with accountable owners to develop action plans and report results
Requirements
  • Bachelor's degree or 2+ years of compliance experience
  • 2+ years of financial services experience
  • FINRA series 7, 24, and 63 (or 65) licenses required or ability to acquire in 6 months
  • Strong analytical and problem-solving skills
  • Excellent interpersonal and communication skills
  • Possess adaptability/flexibility and organizational sense
About Atria Wealth Solutions

Atria Wealth Solutions, Inc. is a wealth management solution holding company focused on delivering a clear path to the future of financial advice for financial professionals, financial institutions, and their clients.