Surveillance Analyst

Osaic

. Complete Field Advisor and product activity-based reviews .

Posted 9/17/2026full-timeAtlanta • Arizona • United StatesJuniorMid-Level💰 $50,000 - $56,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in compliance analysis and risk assessment within the financial securities industry, with a strong ability to interpret regulatory guidelines and manage high volumes of trade data. Proficient in creating compliance documentation and delivering detailed trend summaries to management.

Highest-signal resume keywords

Compliance AnalysisRisk AssessmentFINRA Series 7FINRA Series 24MS Excel Proficiency

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance DocumentationData AnalysisRegulatory InterpretationInvestment Product KnowledgeFinancial Surveillance

Soft Skills

Detail-OrientedInvestigativeEffective Communication

Tools & Technologies

MS OfficeMS Word

Certifications & Qualifications

FINRA Series 7FINRA Series 24Insurance License

Industry Keywords

Financial Securities IndustryRetail BrokerageMutual FundsVariable AnnuitiesAlternative InvestmentsStocksBondsCompliance ManualsSales Practice ManualBroker/Dealer Regulation

Tech Stack

Tools & technologies

Switching

About the role

Key responsibilities & impact

Complete Field Advisor and product activity-based reviews
Review financial professionals’ books of business for common risks and regulatory issues
Conduct ongoing surveillance of trading activity, communications, and other transactional data to identify potential compliance violations
Review alerts and escalate issues requiring further investigation or supervision
Create representative summaries detailing negative trends, including variable annuity replacements, mutual fund B-share and C-share concerns, mutual fund switching, and alternative investment liquidity issues
Deliver trend summaries to Internal Supervision, Compliance, Branch Office Examinations, and Senior Management teams for review and follow-up
Participate in creating and issuing Compliance Manuals, Written Procedures, and Compliance Communications
Report to the Compliance Manager
Perform all other duties as assigned

Requirements

What you’ll need

Minimum of high school diploma or equivalent is required
Two to three years of experience in the financial securities industry is required
Proficiency 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 think through complex Compliance issues
Must be detail-oriented, investigative, and able 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 written and verbal communication skills
FINRA Series 7 and Series 24 preferred
Insurance license preferred
2+ years’ regulatory experience
Experience at an independent broker-dealer

Benefits

Comp & perks

Health insurance
Vision insurance
Dental insurance
401k
Paid time away
Volunteer days