Surveillance Intermediate Analyst

• Reviewing of surveillance exceptions to ensure compliance with appropriate rules, regulations and firm policies
• Properly documenting the review and disposition of the exceptions
• Escalating matters appropriately
• Participating in ad-hoc requests, special projects and assisting in responding to regulatory exams
• Responding to inquiries or requests from various internal partners
• Responding to telephone hotlines and performing data entry
• Reconciling a database of disclosed brokerage accounts
• Coordinating with Compliance and PTIP Covered employees
• Investigating and resolving any undisclosed or missing accounts
• Developing, maintaining and performing reconciliation reviews
• Escalating matters appropriately to management, legal and the respective product coverage areas
• Providing input on the resolution
• Reconciling alerts generated for accounts that are either missing or undisclosed
• Investigating and resolving alerts
• Identifying and administering breaches for failure to collect documentation

• 2-5 years relevant experience
• Knowledge of Compliance laws, rules, regulations, risks and typologies
• Excellent written and verbal communication skills
• Must be a self-starter, flexible, innovative and adaptive
• Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
• Advanced project management and organizational skills and capability to handle multiple projects at one time
• Proficient in MS Office applications (Excel, Word, PowerPoint)
• Some knowledge in area of focus

Advanced degree preferred

• medical, dental & vision coverage
• 401(k)
• life, accident, and disability insurance
• wellness programs
• planned time off
• unplanned time off
• paid holidays