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Surveillance Compliance Analyst

1 month ago

San Diego, California, United States Atria Wealth Solutions Full time
Job Title: Surveillance Compliance Analyst

Atria Wealth Solutions, Inc. is a leading 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.

Headquartered in New York City, Atria's broker-dealer and investment adviser subsidiaries empower financial institutions and independent financial professionals with a sophisticated set of tools, services, and capabilities that deepen client relationships and maximize efficiencies in their practices.

We are seeking a highly skilled Surveillance Compliance Analyst to join our team.

To achieve success in this role, the ideal candidate will possess a strong analytical and problem-solving skillset, excellent interpersonal and communication skills, and the ability to work collaboratively with the team.

The Surveillance Compliance Analyst will be responsible for performing assigned functions, including general trade surveillance reviews, monitoring daily surveillance reports, and analyzing exception report data for trending purposes.

The ideal candidate will also possess FINRA series 7, 24, and 63 (or 65) licenses or the ability to acquire them within 6 months.

Key Responsibilities:

  • Perform general trade surveillance reviews with a focus on potential sales practice exceptions
  • Monitor daily surveillance reports using exception reports and other tools
  • 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 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 senior compliance functional leads to facilitate collaboration across the enterprise
  • Conduct other related tasks to support compliance surveillance, monitoring, and testing

Education, Skills, and Experience:

  • 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

Atria Wealth Solutions, Inc. is an equal opportunity employer and welcomes applications from diverse candidates.