The Surveillance Analyst will support the compliance needs of the organization by supporting the surveillance and personal trading programs of AE Financial Services (AEFS) and AE Wealth Management (AEWM). This position will be located in Topeka, Kansas or fully remote for a qualified candidate.
Job Responsibilities
- Conduct ongoing surveillance of registered representatives and advisor activities to ensure adherence to firm and regulatory policy
- Monitor daily surveillance reports using exception reports and other tools
- Use surveillance systems for PTA/Personal Trade Monitoring for Access/Associated Persons to support our Code of Ethics oversight program
- Review trade alerts and raise findings as needed
- Analyze exception report data for trending purposes
- Assist in the development of annual test plans based on business and regulatory priorities
Requirements
- 2+ years of experience in the securities industry, preferably in compliance or supervision
- Knowledge of industry rules and regulations
- Ability to handle confidential information
Preferred:
- Series 7, 24, 53, 66 (63/65) examinations preferred
- Bachelor's Degree
