Compliance Surveillance Specialist
2 days ago
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 be responsible for monitoring and testing across various lines of business, functions, and operating departments.
Key Responsibilities- Conduct general trade surveillance reviews, focusing 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
- Assist with inquiries and exams, review of electronic communications, and 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 results
- Follow up on 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 management as it relates to surveillance monitoring and testing functions, etc.
- Function as a liaison with senior compliance functional leads to facilitate collaboration across the enterprise
- Conduct other related tasks to support compliance surveillance, monitoring, and testing
- 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
- Able to work collaboratively with the team
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