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Compliance Analyst, Surveillance

Janney Montgomery Scott LLC, 1717 Arch Street, Philadelphia, Pennsylvania, United States of America Req #359
Monday, February 3, 2020
Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments.  We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.

The individual selected for this role will be responsible for analyzing data extracted from Firm records and other sources, to assess compliance with regulatory requirements and Firm policies, adherence to suitability standards, and appropriateness of rationale for account activity based on facts and circumstances. 

 

This position requires the ability to grasp complex concepts coupled with a general understanding of the various different risk measurement and analytics, quantitative modeling, and risk management techniques. The role involves interactions with various business areas within the Firm.  

 

Responsibilities Include:

 

  • Review reports generated from various sources designed to highlight transactions or account conditions that appear to be exceptional in nature
  • Conduct statistical analysis of data across compliance to identify patterns of unusual activity in regards to compliance governance
  • Investigate transactions or account conditions that appear to be exceptional in nature utilizing various online sources of information
  • Provide quantitative support to manage compliance risk across the various business areas of the firm
  • Work with the information technology group to document business requirements and to ensure methodologies are accurately implemented in production systems
  • Maintain records of issues requiring resolution, record interactions with supervisors and others, memorialize outcomes
  • Assist in researching and responding to SEC, FINRA, MSRB and other regulatory inquiries
  • Revise applicable compliance policies and procedures on an as-needed basis
  • Collaborate with colleagues on cross-departmental initiatives
  • Participate in and/or complete special projects, investigations or assignments
  • Complete ad hoc assignments in the general areas of compliance risk management and analytics

 

Required Experience:

 

  • Bachelor's degree preferred or equivalent experience
  • FINRA Series 7 & 66 Securities License preferred; or the ability to obtain with the first 6 months of employment
  • Minimum 3 years regulatory or brokerage experience in surveillance, inspections or branch supervision
  • Knowledge of securities laws, rules and regulations applicable to investment advisers and broker-dealers
  • Knowledge of Thomson Reuters BETA platform; and/or Proserv a plus
  • Knowledge of broker-dealer products, including, but not limited to; equities, options, fixed income, derivatives, annuities, and investment advisory services preferred

 

Required Skills:

 

  • Ability to conduct research and work on projects independently or with little guidance and present results to non-technical teams
  • Proficiency in MS Word and Excel
  • Excellent organizational, analytical and problem-solving skills
  • Outstanding written and verbal communication skills

 

Janney is dedicated to promoting and supporting diversity within our workplace.  We provide an environment that promotes respect, integrity, teamwork, achievement and acceptance regardless of age, disability, education, gender, gender expression, gender identity, job level, marital status, military status, national origin, parental status, pregnancy, race, religion, sexual orientation, socioeconomic status, or other protected factors. Janney is committed to equal employment opportunities and providing reasonable accommodations to applicants with physical and/or mental disabilities.

Other details

  • Pay Type Salary
  • Janney Montgomery Scott LLC, 1717 Arch Street, Philadelphia, Pennsylvania, United States of America