Surveillance Analyst
Lincoln Financial Group - Concord, NH

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As a Surveillance Analyst, you will be responsible for assisting with the execution of the broker/dealer's surveillance program. This involves the creation, monitoring and analyzing of exception reports. These reports are designed to detect sales practice issues, violation of firm or industry regulations and they cover items such as variable annuities, mutual funds, advisory programs, anti-money laundering, and other brokerage products/features. The surveillance program also includes email review of Registered Representatives.

Responsibilities

Research and Analysis
  • Review emails; ensuring compliance with all internal procedures and applicable industry regulations
  • Identify and implement process improvements within existing procedures
  • Measure, track, analyze, and report statistical data
  • Conduct special investigations and research
  • Create, monitor, and analyze surveillance exception reporting
Risk Mitigation
  • Identify issues and/or trends that present higher liability to the firm
  • Work with internal resources, Office of Supervisory Jurisdiction (OSJ) Managers, and Registered Representatives to mitigate this risk
  • Build and maintain a broad knowledge base of the securities industry (regulatory, markets, products, processes, and operational methodologies) and on technology and system functionality
Communication
  • Prepare presentations and written communications to internal staff and field force
  • Maximize existing reporting resources and develop additional resources, as regulatory and business needs require
  • Prepare, maintain, and update internal databases and reports using multiple resources
Requirements
Education
  • Undergraduate degree or 4+ years of comparable work experience
  • FINRA Series 7 and 24 or within 6 months of hire required
Experience
  • 0-1+ years of experience in Financial Services that directly aligns with the specific responsibilities for this position
  • Educational experience and/or proficiency in Research, Analysis, Reporting
  • A demonstrated track record of consistently meeting and/or exceeding performance expectations
  • Possesses a bias for action and avoids workplace distractions
  • Drives performance targets to completion

About this company
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Lincoln Financial Group is a diversified financial services organization headquartered in the Philadelphia region. With $150 billion as of...