Surveillance investigator [h1.location_city]

Osaic Careers

Compliance Risk 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 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

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

Summary :

The Senior Surveillance Analyst plays a critical role in ensuring compliance with regulatory standards and internal policies by conducting comprehensive reviews of Field Advisor activities and product-related transactions. This position is responsible for identifying potential risks, detecting patterns of misconduct, and escalating issues that may impact the firm’s integrity or client trust. The analyst will leverage advanced surveillance tools, data analytics, and investigative techniques to monitor advisor behavior and product suitability, providing actionable insights to mitigate risk. The role requires strong analytical skills, attention to detail, and the ability to interpret complex financial data within a fast-paced environment. The Senior Surveillance Analyst reports directly to the Manager of Surveillance and collaborates closely with Compliance, Risk Management, and other business units to maintain a robust supervisory framework.

Education Requirements :

Copy from options below appropriate for your role

Education option examples :

Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant practical 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

All other duties as assigned

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, 24 preferred.

Insurance license preferred

2+ years’ regulatory experience is preferred.

Experience at an independent broker-dealer is preferred