Join Sanctuary Wealth as a Surveillance Analyst to provide supervisory and compliance oversight by monitoring Broker-Dealer and Registered Investment Advisor (RIA) activities across Sanctuary Securities and Sanctuary Advisors. Conduct ongoing surveillance of trading activity and investment advisory activities to detect potential regulatory violations, market manipulation, or compliance issues. Perform daily reviews of transactions and communications, investigate alerts for possible violations, and escalate issues as needed.
Requirements
- 2+ years of experience in compliance, surveillance, or supervision within a broker-dealer or investment advisory firm (or relevant regulatory agency)
- Strong working knowledge of FINRA, SEC, and federal securities laws and regulations applicable to broker-dealers and RIAs, including trading and investment advisory activities
- Familiarity with a broad range of investment products and services (e.g., equities, fixed income, mutual funds, annuities, managed accounts, insurance products) and how they are supervised
- Experience with or ability to quickly learn automated surveillance systems and tools (e.g., InvestEdge or other compliance systems) to analyze trading and account activity
- High proficiency in data analysis and Microsoft Excel; able to manipulate and analyze large data sets to identify trends and anomalies
- Excellent written and verbal communication skills, with ability to document findings clearly and to communicate issues to senior management and advisors
- Strong analytical and investigative mindset with acute attention to detail and accuracy in a high-volume, fast-paced environment
- Demonstrated ability to work independently and exercise sound judgment in making supervisory decisions with minimal supervision
- Effective time management and organizational skills; capable of managing multiple priorities and meeting deadlines while maintaining a high level of quality
- High level of integrity, discretion, and professionalism when dealing with sensitive information and during interactions with internal and external parties
- Collaborative team player with a proactive approach to addressing issues and continuously improving compliance processes
Benefits
- Competitive Benefits Package
- Unlimited PTO
- 10% Annual Bonus Eligibility
