Advisory Compliance Surveillance Analyst
Job Description
This position is responsible for supporting advisory compliance and surveillance functions as required by FINRA, SEC, and state securities regulations. This role is fully remote.ESSENTIAL FUNCTIONS, DUTIES AND RESPONSIBILITIES:
*Conducts surveillance and review of advisory exception reports.
*Conducts ongoing advisory surveillance of sales trends.
*Assists in research of advisory compliance related projects.
*Assists in preparation of advisory regulatory responses and filings as assigned.
*Provides guidance and support to our financial advisors and business partners.
*Identifies potential representative disciplinary issues and assists in response as needed.
*Develop and implement regular reviews, reports and testing of IA accounts and platforms
*Provide regular reporting to financial professionals and supervision, including follow-up and guidance
*Draft desktop procedures
*Qualifications:*
*Series 7, Series 24, series 66 (65 and 63 in lieu of 66)
*Proficient with Microsoft Office (e.g., Word, Excel, PowerPoint, etc.)
*Ability to recognize when a problem or issue requires additional parties to be consulted and the ability to use proper discretion and judgment when dealing with internal and external difficulties.
*Excellent verbal and written communication skills
*Bachelor's degree (B.A./ B.S.) from four-year college or university preferred.
*Designations a plus (IACCP, CFP, etc.)
*Pay and Benefits*
The pay range for this position is $40.00 - $45.00
Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following:
* Medical, dental & vision
* Critical Illness, Accident, and Hospital
* 401(k) Retirement Plan - Pre-tax and Roth post-tax contributions available
* Life Insurance (Voluntary Life & AD&D for the employee and dependents)
* Short and long-term disability
* Health Spending Account (HSA)
* Transportation benefits
* Employee Assistance Program
* Time Off/Leave (PTO, Vacation or Sick Leave)
*Workplace Type*
This is a fully remote position.
*Application Deadline*
This position will be accepting applications until Dec 28, 2024.
About TEKsystems:
We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
*Please mention you saw this ad on AcademeCareers.*
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