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Compliance Surveillance Analyst
Compliance Surveillance AnalystAdvisor Group • St. Petersburg
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Compliance Surveillance Analyst

Compliance Surveillance Analyst

Advisor Group • St. Petersburg
30+ days ago
Job type
  • Full-time
Job description

Osaic Careers

Compliance Opportunity in Financial Services

Compliance 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 is not considering remote candidates at this time.

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: $60,000 - $70,000 per year + annual bonus

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

Summary:

We are seeking a detail-oriented and analytical Compliance Surveillance Analyst to join our Compliance team. In this role, you will help ensure Osaic maintains a strong supervisory framework by monitoring, identifying, and escalating potential compliance risks. This is an opportunity to contribute to a critical function that safeguards our advisors, clients, and the firm. The ideal candidate thrives in a fast-paced environment and is passionate about regulatory compliance and risk mitigation.

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:

  • 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.
  • Document findings clearly and concisely in accordance with firm procedures.
  • Assist with regulatory inquiries and internal audits related to surveillance.
  • Partner with Compliance leadership to enhance surveillance rules, models, and workflows.
  • Support the development and implementation of new monitoring tools and technologies.
  • Stay current on industry regulations (FINRA, SEC) and apply them to daily monitoring activities.

Basic Requirements:

  • 1–3 years of experience incompliance, risk management, surveillance, or a related field.
  • Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, insurance products and bonds is required.
  • Strong analytical skills with the ability to identify patterns and anomalies.
  • Excellent written communication and documentation skills.
  • Ability to work independently while managing multiple priorities.
  • Proficiency with Microsoft Excel, Word, and data-driven systems.
  • High level of integrity and discretion when handling confidential information.

Preferred Requirements:

  • Experience in broker-dealer or financial services compliance.
  • FINRA licenses (e.g., SIE, Series 7, Series 24) and/or insurance license a plus.
  • Familiarity with broker dealer compliance surveillance systems
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Compliance Surveillance Analyst • St. Petersburg

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