Surveillance Principal

About This Role

Strengthen and evolve trade and conduct surveillance programs, identifying potential misconduct, conflicts of interest, and regulatory risk, across a dually registered RIA and Broker-Dealer platform.

Responsibilities

• Conduct daily surveillance of advisor and representative activity, including trading patterns, account activity, outside business activities, and conduct-related matters
• Review exception reports to identify trends, emerging risks, and potential red flags
• Investigate and escalate suspicious or non-compliant activity with clear, well-documented findings
• Refine surveillance alert parameters to improve effectiveness and reduce false positives
• Evaluate and recommend enhancements to surveillance rules in response to regulatory, product, and business changes
• Oversee the firm’s Personal Trading Account (PTA) surveillance program in accordance with the Code of Ethics
• Design and maintain PTA surveillance rules to detect potential violations
• Review flagged activity and escalate issues to Compliance leadership as appropriate
• Support the development and execution of the firm’s Surveillance Program
• Conduct targeted reviews and thematic risk assessments

Requirements

• Minimum 5 years of experience in the securities industry with a focus on compliance, supervision, or surveillance
• Active FINRA Series 24 license
• Strong written, verbal, and interpersonal communication skills
• Strong knowledge of FINRA and SEC regulatory frameworks
• Experience analyzing trading data and exception reports
• Excellent analytical, investigative, and problem-solving skills
• High attention to detail and ability to manage complex workflows
• Capacity to deliver high-quality work under strict regulatory or management deadlines
• Proactive mindset with the ability to work independently and collaboratively in a fast-paced, dynamic environment

Qualifications

• Bachelor’s degree in Finance, Business, Compliance, or a related field
• Minimum 5 years of experience in the securities industry with a focus on compliance, supervision, or surveillance

Nice to Have

• Experience with surveillance platforms such as FIS Protegent or similar tools
• Advanced data analysis skills using Excel, Alteryx, and/or Power BI
• Familiarity with access person requirements, personal trading surveillance, and Code of Ethics administration
• Bachelor’s degree in Finance, Business, Compliance, or a related field

Skills

* Required skills

Benefits