Surveillance Analyst

Surveillance Analyst

The Surveillance Analyst provides supervisory and compliance oversight by monitoring Broker-Dealer and Registered Investment Advisor (RIA) activities across Sanctuary Securities and Sanctuary Advisors. This position is responsible for conducting and enhancing the firm's surveillance program to identify potential market manipulation, trading irregularities, and compliance issues across brokerage and advisory business lines.

The Analyst will perform daily reviews of transactions and communications, investigate alerts for possible violations, and escalate issues to as needed. In addition, this role will help maintain a robust supervisory framework by assisting with regulatory inquiries, developing surveillance metrics, refining surveillance tools, and supporting other delegated supervisory responsibilities to ensure the firm's compliance with FINRA and SEC regulations.

Responsibilities:

• Conduct ongoing surveillance of trading activity (brokerage transactions) and investment advisory activities to detect potential regulatory violations, market manipulation, or compliance issues.
• Review and assess surveillance alerts and reports; identify patterns of suspicious behavior (e.g., excessive trading, unsuitable transactions) and escalate issues for further investigation or supervisory action.
• Maintain detailed documentation of surveillance reviews, alert resolutions, and supervisory actions in accordance with firm procedures and regulatory expectations.
• Collaborate with Compliance, Risk, Legal, and Leadership to investigate and resolve potential regulatory or reputational risks identified through surveillance.
• Assist in the enhancement of surveillance programs by designing and improving surveillance techniques, rules, and models; participate in user acceptance testing (UAT) for new surveillance systems or updates.
• Develop and compile comprehensive surveillance metrics and reports for distribution to Compliance leadership and business management, highlighting trends and findings.
• Help draft and update written supervisory procedures, policies, and training materials related to trading and advisory surveillance.
• Support responses to regulatory inquiries, examinations, and investigations by gathering surveillance data and documentation as needed.
• Perform other delegated supervisory duties or special projects as assigned to support the firm's overall compliance and supervisory program.

Requirements:

Qualifications:

• 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.

Education:

Undergraduate degree in Business, Finance, or a related discipline, or equivalent work experience.

Licenses:

Series 7, 66 (or 63 and 65), 24, 4 (or 9 and 10) required; Series 53, and Life & Health Insurance licenses are a plus.