Janney
Compliance Analyst - Surveillance
Janney, Phila, Pennsylvania, United States, 19117
Janney Montgomery Scott LLC, Philadelphia, Pennsylvania, United States of AmericaJob Description
Posted Tuesday, November 28, 2023 at 5:00 AMJanney 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 understanding and analysis of investment strategies and risk management techniques and will involve basic administration of technology platforms. The role involves interactions with various business areas within the Firm.What you are good at:Risk Identification:
Experience and proficiency in identifying risk in client suitability and investment strategy concepts.Communication:
The ability to communicate effectively with internal clients using empathy and persuasion.Technology Maintenance and Testing:
Comfort in and experience with basic administration functions of technology platforms including quality assurance and testing.Organization and Time Management:
The ability to take on multiple requests at once and effectively complete tasks in an efficient manner.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.Basic administration, maintenance, and testing of risk-based technology platforms including FIS Pro-Surv and Global Relay.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 ProSurv 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.Why work for us?Benefits: Janney believes that its employees are the key to what makes a great company. Although work makes up a large portion of an employee’s life, we believe that a balance between work and non-work activities is essential to maintain quality performance and a positive work atmosphere. We offer a competitive package including Paid Paternal Leave, generous Paid Time Off, eligibility for a $2,000 referral bonus, and a Professional Development Assistance Plan designed to help you make the most of your life at work and at home—today and in the future.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.Pay Type: Salary
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Posted Tuesday, November 28, 2023 at 5:00 AMJanney 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 understanding and analysis of investment strategies and risk management techniques and will involve basic administration of technology platforms. The role involves interactions with various business areas within the Firm.What you are good at:Risk Identification:
Experience and proficiency in identifying risk in client suitability and investment strategy concepts.Communication:
The ability to communicate effectively with internal clients using empathy and persuasion.Technology Maintenance and Testing:
Comfort in and experience with basic administration functions of technology platforms including quality assurance and testing.Organization and Time Management:
The ability to take on multiple requests at once and effectively complete tasks in an efficient manner.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.Basic administration, maintenance, and testing of risk-based technology platforms including FIS Pro-Surv and Global Relay.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 ProSurv 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.Why work for us?Benefits: Janney believes that its employees are the key to what makes a great company. Although work makes up a large portion of an employee’s life, we believe that a balance between work and non-work activities is essential to maintain quality performance and a positive work atmosphere. We offer a competitive package including Paid Paternal Leave, generous Paid Time Off, eligibility for a $2,000 referral bonus, and a Professional Development Assistance Plan designed to help you make the most of your life at work and at home—today and in the future.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.Pay Type: Salary
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