Senior Brokerage Surveillance Analyst

Senior Surveillance Analyst

We're looking for a Senior Surveillance Analyst to play a critical role in protecting our clients, advisors, and firm. In this role, you'll lead risk-based surveillance across broker-dealer and investment adviser activity—combining data, judgment, and collaboration to identify and address regulatory and supervisory risk. You'll go beyond monitoring alerts—you'll shape how we detect risk, influence outcomes, and continuously evolve our surveillance program.

Lead risk-based surveillance reviews of transactions, accounts, and advisor activity to identify suitability, fiduciary, Reg BI, and policy concerns.

Investigate and resolve surveillance alerts across trading activity, advisory programs, and representative conduct—serving as an escalation point for complex issues.

Evaluate account activity against client profiles, including risk tolerance, objectives, and investment strategies.

Analyze surveillance data and activity trends to identify outliers, emerging risks, and thematic issues—and clearly communicate insights to leadership.

Partner directly with RRs and IARs to gather context, assess risk, and drive timely, well-reasoned resolutions.

Apply strong judgment in complex or gray-area scenarios, determining appropriate outcomes and escalation paths.

Maintain thorough documentation of investigations and conclusions in line with regulatory and audit expectations.

Mentor junior analysts and serve as a subject-matter expert within the team.

Collaborate across supervision, compliance, and advisory teams to ensure consistent and aligned outcomes.

Contribute to enhancing surveillance capabilities—including alert design, thresholds, and overall program effectiveness.

Support regulatory exams, audits, and internal reviews, including preparing documentation and supervisory narratives.

Stay current on regulatory developments and incorporate evolving expectations into surveillance practices.

Bachelor's degree or equivalent experience.

6+ years in broker-dealer or investment adviser surveillance, supervision, or compliance.

Required licenses: Series 7, 24, and 66 (or 63/65); Series 4 and/or 53 preferred.

Strong knowledge of FINRA supervisory rules, Regulation Best Interest, and SEC fiduciary standards.

Broad exposure to brokerage and advisory products (e.g., mutual funds, annuities, managed accounts, alternatives).

Proven ability to analyze surveillance data and translate insights into risk-based decisions.

Demonstrated sound judgment and the ability to influence outcomes through analysis and escalation.

Strong communication skills with the ability to engage advisors, auditors, and leadership.

Leadership mindset with experience mentoring or guiding others.

Highly organized with strong attention to detail and ability to manage multiple priorities in a fast-paced environment.

This is an opportunity to step into a senior, visible role where your expertise directly shapes how risk is identified, assessed, and managed. You'll influence surveillance strategy, partner across the business, and help strengthen a program that protects both clients and the firm.

Salary ranges below reflect targeted base salaries. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.

Salary Range (Non-Exempt expressed as hourly; Exempt expressed as yearly) $104400 - $155000 / year

Salary Details The following locations are examples of market-specific salary ranges across different geographies.

Grand Island, NE / Wichita, KS: $104,400 - $150,000 / year

Des Moines, IA / Tampa, FL: $110,200 - $150,000 / year

Charlotte, NC / Dallas, TX: $116,000 - $150,000/ year

Chicago, IL / Denver, CO / Minneapolis, MN: $127,600 - $150,000 / year

Los Angeles, CA / New York City, NY: $139,200 - $155,000 / year

Flexible Time Off (FTO) is provided to salaried (exempt) employees and provides the opportunity to take time away from the office with pay for vacation, personal or short-term illness. Employees don't accrue a bank of time off under FTO and there is no set number of days provided.

Pension Eligible Yes

Work Authorization/Sponsorship At this time, we're not considering applicants that need any type of immigration sponsorship (additional work authorization or permanent work authorization) now or in the future to work in the United States. This includes, but IS NOT LIMITED TO: F1-OPT, F1-CPT, H-1B, TN, L-1, J-1, etc.

For additional information around work authorization needs please use the following links.

Nonimmigrant Workers and Green Card for Employment-Based Immigrants Investment Code of Ethics

For Principal Asset Management positions, you'll need to follow an Investment Code of Ethics related to personal and business conduct as well as personal trading activities for you and members of your household. These same requirements may also apply to other positions across the organization.

Principal is an Equal Opportunity Employer All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.

Posting Window We will accept applications for 3 full days following the Original Posting Date, after which the posting may remain open or be removed based upon applications received. If we choose to post the job again, we will accept additional applications for at least 1 full day following the Most Recently Posted Date. Please submit applications in a timely manner as there is no guarantee the posting will be available beyond the applicable deadline.

Original Posting Date 6/18/2026 Most Recently Posted Date 6/18/2026

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