Compliance Surveillance Specialist

2 days 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 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
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
  • Able to work collaboratively with the team


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