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Osaic · 2 days ago

Surveillance Analyst

Atlanta, GA

Full-time

Hybrid

Mid Level

$60K/yr - $65K/yr

3+ years exp

Osaic is a company in the financial services sector, and they are seeking a Surveillance Analyst to complete Field Advisor and product activity-based reviews. The role involves reviewing financial professionals' books for risks, creating summaries of negative trends, and assisting in the development of surveillance procedures.

Business DevelopmentFinancial ServicesWealth Management

H1B Sponsor Likely

Responsibilities

Reviews financial professionals’ book of business for common risks and regulatory issues

Creates representative summaries detailing negative trends including high rates of variable annuity replacements, mutual fund B-share and C-share concerns, high rates of mutual fund switching, alternative investment liquidity issues, etc

Delivers trend summaries to Internal Supervision, Compliance and Senior Management teams for review and follow up

Assist Surveillance manager in the creation and editing of Surveillance procedures

Lead additional projects and regulatory requests and necessary

Conducts Quality Assurance of analyst deliverables for financial professional profiles and Activity Based Reviews

SME for all Surveillance report IT/QA/UAT testing

Train new/current Surveillance Analysts

All other duties as assigned

Qualification

Financial securities experienceMS Excel proficiencyInvestment productsCompliance interpretationDetail-orientedInvestigative skillsRegulatory experienceInsurance licenseFINRA Series 7Effective communicationWork independently

Required

Minimum of high school diploma or equivalent is required

Three to five years of experience in the financial securities industry is required

Must be proficient 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 to think through complex Compliance issues

Must be detail-oriented, investigative and have the ability to handle a high volume of work independently

Ability to interpret the Compliance Policies and Procedures, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation

Effective communication skills, both written and verbal

Preferred

Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree

FINRA Series 7 and 24 preferred

Insurance license preferred

2+ years' regulatory experience is preferred

Experience at an independent broker-dealer is preferred

Company

Osaic

Glassdoor3.7

Osaic provides the support, resources, and community designed for the future of wealth management.

Founded in 2016

Phoenix, Arizona, USA

1001-5000 employees

https://osaic.com/

H1B Sponsorship

Osaic has a track record of offering H1B sponsorships. Please note that this does not guarantee sponsorship for this specific role. Below presents additional info for your reference. (Data Powered by US Department of Labor)

Distribution of Different Job Fields Receiving Sponsorship

Represents job field similar to this job

Trends of Total Sponsorships

2025 (1)

2024 (1)

2023 (1)