Surveillance Analyst

The individual selected for this role will be responsible for analyzing data extracted from Firm records and other sources to assess compliance with regulatory requirements and Firm policies adherence to suitability standards and appropriateness of rationale for account activity based on facts and circumstances. This position requires the ability to grasp complex concepts coupled with understanding and analysis of investment strategies and risk management techniques and will involve basic administration of technology platforms with a focus on increasing automation and workflow efficiency. The role involves interactions with various business areas within the you are good at:Risk Identification: Experience and proficiency in identifying risk in client suitability and investment strategy : The ability to communicate effectively with internal clients using empathy and Maintenance and Testing: Comfort in and experience with basic administration functions of technology platforms including quality assurance and testing. Organization and Time Management: The ability to take on multiple requests at once and effectively complete tasks in an efficient :Review reports generated from various sources designed to highlight transactions or account conditions that appear to be exceptional in statistical analysis of data across compliance to identify patterns of unusual activity in regards to compliance operational efficiencies through automation and technology-driven transactions or account conditions that appear to be exceptional in nature utilizing various online sources of quantitative support to manage compliance risk across the various business areas of the administration maintenance and testing of risk-based technology platforms including FIS Protegent and Global with the information technology group to document business requirements and to ensure methodologies are accurately implemented in production records of issues requiring resolution record interactions with supervisors and others memorialize in researching and responding to SEC FINRA MSRB and other regulatory inquiriesRevise applicable compliance policies and procedures on an as-needed basisCollaborate with colleagues on cross-departmental in and/or complete special projects investigations or ad hoc assignments in the general areas of compliance risk management and Experience:Bachelors degree preferred or equivalent experienceFINRA Series 7 & 66 Securities License preferred; or the ability to obtain with the first 6 months of employmentMinimum 3 years regulatory or brokerage experience in surveillance inspections or branch supervisionKnowledge of securities laws rules and regulations applicable to investment advisers and broker-dealersKnowledge of Thomson Reuters BETA platform; and/or ProSurv a plusKnowledge of broker-dealer products including but not limited to; equities options fixed income derivatives annuities and investment advisory services preferredRequired Skills:Ability to conduct research and work on projects independently or with little guidance and present results to non-technical teamsProficiency in MS Word and ExcelExcellent organizational analytical and problem-solving skillsOutstanding written and verbal communication skillsWhy work for usBenefits: Janney believes that its employees are the key to what makes a great company. We believe that a balance between work and non-work activities is essential tosuperior performance and a positive work atmosphere. We offer a competitive package including Paid Parental Leave generous Paid Time Off eligibility for a $2000 referral bonus Employee Ownership and Professional Development Assistance Plan designed to help you make the most of your life at work and at hometoday and in the is anaward-winning full-servicewealth management firm committed to understanding our clients needs and providing advice beyond are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm. People are our strongest asset. We recognize that when our team members thrive our firm is more successful.