What are the responsibilities and job description for the Compliance & Surveillance Analyst position at MOHR Talent?
Compliance & Surveillance Analyst
Remote | $75k - $85k Base Bonus Full Benefits
We’ve partnered with a well-established and growing financial services organization seeking a Compliance & Surveillance Analyst to join their Supervision team.
This opportunity is ideal for someone with experience in a Broker-Dealer or RIA environment who enjoys investigative work, regulatory review, and helping mitigate risk tied to advisor activity and client accounts.
The organization offers a collaborative and stable environment with strong leadership, long-term growth potential, and the flexibility of a fully remote setup.
Key Responsibilities- Review advisor activity, transactions, and account-related exceptions
- Investigate and document regulatory or policy-related concerns
- Escalate issues appropriately while maintaining detailed documentation
- Communicate with advisors and internal departments regarding compliance-related matters
- Assist with regulatory requests tied to FINRA, SEC, audits, and internal reviews
- Utilize internal systems and reporting tools to monitor activity and identify risk trends
- Support ongoing compliance and supervision initiatives as needed
- 3 years of experience within a Broker-Dealer, RIA, or financial services environment
- Background in compliance, surveillance, supervision, trade review, or risk monitoring
- Strong analytical and investigative mindset
- Ability to interpret regulations and apply sound judgment
- Excellent written communication and organizational skills
- Comfortable working in a fast-paced, high-accountability environment
- FINRA Series 7
- FINRA Series 24
- FINRA Series 63
- Series 65 or 66
- Prior experience reviewing advisor activity or suitability concerns