Are you passionate about compliance and regulatory adherence in the financial industry? Do you thrive in dynamic environments and excel at proactive problem-solving? If so, Advisors Excel is looking for you to join our Compliance Team as a Surveillance Analyst.
In this critical role, you will support the surveillance and personal trading programs of AE Financial Services (AEFS) and AE Wealth Management (AEWM). Your work will ensure that our employees and advisors adhere to both firm and regulatory policies, helping us maintain our high standards of integrity and ethical conduct.
What You’ll Do
Conduct ongoing surveillance of registered representatives and advisor activities to ensure adherence to firm and regulatory policy
Utilize exception reports and other tools to keep track of daily surveillance reports.
Support the Code of Ethics oversight program by using surveillance systems for PTA/Personal Trade Monitoring for Access/Associated Persons
Analyze trade alerts and escalate findings as necessary
Examine exception report data to identify trends and patterns
Assist in developing annual test plans based on business and regulatory priorities
Lead and/or perform targeted reviews according to risk and annual test plan
Identify compliance issues, collaborate with accountable owners to develop action plans, and report the results
Monitor the status of remediation efforts and track the progress of action plans
Respond to management inquiries related to surveillance monitoring and testing functions
Act as a liaison with senior compliance functional leads to foster collaboration across the organization
Undertake special compliance projects as assigned
Experience You’ll Bring
At least 2 years of relevant securities industry experience, preferably in compliance or supervision
Demonstrated knowledge of industry rules and regulations
Confident, professional and articulate in written and verbal communication
Strong fact-finding, analytical and problem-solving skills
Ability to plan and organize tasks with minimal direction, work independently, and collaborate within a team
Ability to work with a high degree of accuracy in a fast-paced environment
Ability to handle confidential information with discretion
Bonus Points
Series 7, 24, 53, 66 or 63/65 examinations preferred
Bachelor’s Degree in related field
What You’ll Get
Amazing benefits including medical, dental, vision and 401k (with matching options)
Generous PTO package upon your start date
Access to an on-site café, gym and primary care physician
Continuous personal and professional development opportunities
Recognition for hard work & exemplary performance
Employee sponsored events…and more!
Who We Are
Advisors Excel is a fast paced, innovative company that seeks to service independent financial advisors in a multitude of areas within their business. From operational functions to sales and marketing, our end goal is to help continually grow advisors’ businesses nationwide. We thrive on watching them succeed. Not only does AE want to see the success of our advisors, but also our employees. We have high expectations from them to continually move our business forward. We are on the hunt for positive people who thrive on hard work and in a collaborative team environment. If this sounds like you, then what are you waiting for? We want you to join our team!
Advisors Excel is an Equal Employment Opportunity Employer. Everyone is welcome here – as an inclusive workplace, our employees are always comfortable bringing their true selves to our offices daily.
Seniority level
Entry level
Employment type
Full-time
Job function
Finance and Sales
Industries
Financial Services
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