Surveillance Analyst

AIG Financial Advisors, Inc. (AIGFA) is one of the nation's largest broker-dealers with $42 billion in total account assets, 2,275 affiliated independent financial advisors and more than 500 OSJ managers. Headquartered in Phoenix, AIGFA supports fee-based financial advisors with one of the most robust technology platforms and largest advisory services teams in the industry. AIGFA's dedicated business development team addresses the unique market needs of affiliated financial advisors by providing customized business solutions that achieve long-term growth objectives. AIGFA is a registered broker-dealer and SEC registered investment adviser, member NASD and SIPC, and member company of American International Group, Inc.

SUMMARY

The Surveillance Analyst of Compliance Unit will be responsible for identifying transactions that warrant further follow-up and working with registered representatives of the Broker Dealer companies.  Day to day activities include running reports from various systems, Pershing, VISION2020, Morning Star, Rules Engine etc. and following up on such reports with inquiry letters to representatives.  Position reports to the Director of Compliance. Series 7 required, Series 8 or 24 must be obtained within 60 days.

 

ESSENTIAL DUTIES AND RESPONSIBILITIES include the following.  Other duties may be assigned.

 

-Analyze and interpret surveillance reports and systems

-Review, analyze and interpret customer accounts with respect to trading in:

  ?Equities

  ?Options

  ?Annuities

  ?Mutual funds

  ?DPPs

  ?Personal accounts

-Manages multiple projects 

-Sends reports to OSJ managers and regional management in a timely manner.

-Educates OSJ Managers, RRs and staff on various industry rules, regulations, and firm policies during the exam.

-Responsible for answering incoming phone calls from the Field via the ?Compliance Hotline.?

 

SUPERVISORY RESPONSIBILITIES

This position has no supervisory responsibilities.

 

QUALIFICATIONS

Series 7 required, Series 8 or 24 must be obtained within 60 days.

Candidates must possess strong computer, analytical and problem-solving skills, must be capable of self-management, multitasking and have rigorous attention to detail. The ideal candidate will have familiarity with mutual fund breakpoints.  The position entails access to sensitive, confidential information, and applicants must demonstrate impeccable personal integrity, maturity, and discretion. Must be capable of working independently as well as with a group. The ideal candidate will have excellent analytical skills with a thorough knowledge of suitability and other compliance issues involved with retail activity. Must be a strong team player, detail oriented with excellent verbal and written communication skills. This position requries a minimum of 2 years experience in the financial services industry, preferably in Compliance.

 

Candidates must possess computer skills in the following:

Excel

Word

AS 400 experience a plus