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Surveillance investigator Jobs in Mesa, AZ

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Surveillance investigator • mesa az

Last updated: 10 hours ago

Senior Surveillance Analyst

Advisor GroupScottsdale, AZ
$84,000.00 yearly
Full-time

Compliance Opportunity in Financial Services.Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339.La Vista:12325 Port Grace Blvd, La Vista, NE 68128.Scottsdale: 18700 N Hayden Rd, Suite 2... Show more

Internal Revenue Agent (Forensic Investigator)

US Government JobsMesa, AZ, United States
Permanent

Tax Exempt/Government Entities.WHAT IS TAX EXEMPT/GOVERNMENT ENTITIES? A description of the business units can be found at:.Position(s) are to be filled in following area(s):.TEGE - Exempt Organiza... Show more

Remote Trade Surveillance Expert (Market Abuse & Conduct Monitoring) - AI Trainer ($100-$100 per

MercorChandler, Arizona, US
Remote
Full-time

Mercor is seeking experienced **Trade Surveillance Experts** to support the development and evaluation of advanced AI systems used in capital markets compliance and market abuse detection.In this r... Show more

Senior Surveillance Analyst

OsaicScottsdale, AZ, United States
$84,000.00 yearly
Full-time

Compliance Opportunity in Financial Services.Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339.La Vista: 12325 Port Grace Blvd, La Vista, NE 68128.Scottsdale: 18700 N Hayden Rd, Suite ... Show more

Remote Physics Expert (Professor / Principal Investigator)

Micro1Gilbert, Arizona, US
$80.00 hourly
Remote
Full-time

Physics Expert (Professor / Principal Investigator).Expert Judgment in Ambiguous Cases.Defensible Written Articulation.AI data lab for training frontier models and evaluating AI agents.Experts cont... Show more

 • Promoted

Remote Physics Expert (Professor / Principal Investigator)

Micro1Scottsdale, Arizona, US
$80.00 hourly
Remote
Full-time

Physics Expert (Professor / Principal Investigator).Expert Judgment in Ambiguous Cases.Defensible Written Articulation.AI data lab for training frontier models and evaluating AI agents.Experts cont... Show more

 • Promoted

Case Investigator - Coordinator

Arizona State UniversityTempe, AZ, United States
$52,000.00 yearly
Full-time

Max Pay Depends on experience: $52,000.Develops community outreach program activities and coordinates program fundraising to promote stable and productive relationships between the university and ... Show more

Oncology- Physician Clinical Investigator Position

HonorHealthScottsdale, AZ, US
Permanent

HonorHealth Research Institute.The Division of Cancer Research is seeking Board Certified Medical Oncologists with clinical research expertise/interest in the following areas:.Melanoma and Solid Tu... Show more

Clinical Research Assistant (CRA)

Lighthouse Psychiatry Brain Health CenterGilbert, Arizona, United States
$38,000.00 yearly
Full-time
Quick Apply

Clinical Research Assistant (CRA) (Psychiatry).Arizona (On-Site – Outpatient Psychiatry Clinic).Clinical Research & Interventional Psychiatry.TMS, ketamine/esketamine therapy, psychotherapy, an... Show more

Director of Engineering, C5ISR - Top Secret Clearance Eligible

Tomorrow HireGilbert, AZ, United States
Full-time

Director Of Engineering - C5ISR.Our client, a federal contractor supporting the U.Department of War (DoW) and Department of Homeland Security (DHS), is seeking an experienced Director of Engineerin... Show more

Sales Account Representative - AZ

Premise One LLCChandler, AZ, US
Full-time
Quick Apply

Premise One is a leading provider of low-voltage security and technology solutions, specializing in surveillance and access control systems solutions.We are dedicated to the design and delivery of ... Show more

Lead Surveillance Engineer

BechtelChandler, AZ, US
Full-time

Relocation Authorized: National - Family.Telework Type: Full-Time Office/Project.Extraordinary teams building inspiring projects:.Since 1898, we have helped customers complete more than 25,000 proj... Show more

Arizona Professional Investigator

Covert Special Investigations, IncChandler, AZ, US
Part-time

Arizona Professional Investigator.Auto • Fire • Theft • Workers' Compensation Investigations.Phoenix Metro / Tucson | Hybrid Field | Bilingual in Spanish Preferre.Most investigation firms hire inve... Show more

Remote Physics Expert (Professor / Principal Investigator)

Micro1Tempe, Arizona, US
$80.00 hourly
Remote
Full-time

Physics Expert (Professor / Principal Investigator).Expert Judgment in Ambiguous Cases.Defensible Written Articulation.AI data lab for training frontier models and evaluating AI agents.Experts cont... Show more

 • Promoted

Director of Engineering, C5ISR - Top Secret Clearance Eligible

TOMORROW HIREGilbert, AZ, US
$165,000.00 yearly
Full-time
Quick Apply

Director of Engineering - C5ISR.Our client, a federal contractor supporting the U.Department of War (DoW) and Department of Homeland Security (DHS), is seeking an experienced .Director of Engi... Show more

Internal Revenue Agent (Forensic Investigator)

Internal Revenue ServiceMesa, AZ, United States
Full-time

The following are the duties of this position at the full working level.If this vacancy includes more than one grade and you are selected at a lower grade level, you will have the opportunity to le... Show more

 • New!

Experienced Field Investigator -- SIU

Auto-Owners InsuranceMesa, AZ, United States
Full-time

A career at Auto-Owners is challenging and rewarding.Our group of caring associates create financial security by helping individuals and businesses make a new start when a loss occurs.We offer a me... Show more

Remote Chemistry Research Collaborator (Part-time) - AI Trainer ($80-$110 per hour)

MercorGilbert, Arizona, US
Remote
Part-time

We are recruiting a select cohort of accomplished chemistry researchers to contribute to the next generation of AI systems for scientific reasoning.Our partner labs are building models that need to... Show more

Sales Account Representative - AZ

Premise OneChandler, AZ, United States
Full-time

Premise One Sales Account Representative.Premise One is a leading provider of low-voltage security and technology solutions, specializing in surveillance and access control systems solutions.We are... Show more

People also ask
Senior Surveillance Analyst

Senior Surveillance Analyst

Advisor GroupScottsdale, AZ
2 days ago
Salary
$84,000.00 yearly
Job type
  • Full-time
Job description

Osaic Careers

Compliance Opportunity in Financial Services

Senior Surveillance Analyst

Location(s):

Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339

La Vista:12325 Port Grace Blvd, La Vista, NE 68128

Oakdale: 7755 3rd St. N, Oakdale, MN 55128

Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.

Role Type: Full-time

Salary: $84,000 - $94,000 per year + annual performance-based bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: .

Summary:

The Sr. Surveillance Analyst will be responsible for completing Field Advisor and product activity-based reviews. This position reports to the Manager of Surveillance.

Education Requirements:

  • Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

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 and Written Supervisory 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

Basic Requirements:

  • 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. (Additional knowledge in variable annuities and mutual funds strongly preferred.)
  • 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 Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation
  • Effective communication skills, both written and verbal.

Preferred Requirements:

  • FINRA Series 7 required, Series 24 preferred.
  • Insurance license preferred
  • 2+ years’ regulatory experience is preferred.
  • Experience at an independent broker-dealer is preferred