Lead Compliance Surveillance Analyst

Five years of regulatory, securities, or advertising compliance experience.

Areas of experience desired may vary based upon assigned compliance functions and may include contract development, claims, underwriting, legal research, fraud or anti-money laundering investigations and/or communications.

Securities and some advertising industry positions require expert knowledge of the securities laws, regulations, rules, and applicable FINRA licensing.

(Series 7 & 24 or Series 6 & 26, as applicable)

For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.

Compensation Benefits

Competitive Pay

Bonus for Eligible Employees

Benefits Package

Pension Plan

As a key member of the Compliance department, this role helps mitigate legal, regulatory, operational, and reputational risk by supporting oversight and sales practice surveillance across insurance and/or securities distribution channels .

This role conducts complex surveillance reviews, investigates potential compliance risks, analyzes trends and collaborates with business partners to support adherence to regulatory requirements, company policies and sales practice standards.

Review and evaluate existing policies, procedures, surveillance methodologies, monitoring controls, and risk management practices to identify opportunities for enhancement.

Recommend and support the implement of process improvements, surveillance enhancements, and controls designed to mitigate agent oversight, conduct and sales practice risk.

Conduct risk-based surveillance and monitoring activities to identify potential regulatory, compliance, supervisory, and business conduct concerns.

Analyze agent, customer, policy/account and transaction data to detect patterns, trends and emerging risks related to sales and servicing practices to support compliance with applicable company standards regulatory requirements, and market conduct expectations.