Senior Brokerage Surveillance Analyst

**What You'll Do**

We’re looking for a Senior Surveillance Analyst to play a critical role in protecting our clients, advisors, and firm. In this role, you’ll lead risk-based surveillance across broker-dealer and investment adviser activity—combining data, judgment, and collaboration to identify and address regulatory and supervisory risk.

You’ll go beyond monitoring alerts—you’ll shape how we detect risk, influence outcomes, and continuously evolve our surveillance program.

**What You’ll Do**

+ Lead risk-based surveillance reviews of transactions, accounts, and advisor activity to identify suitability, fiduciary, Reg BI, and policy concerns
+ Investigate and resolve surveillance alerts across trading activity, advisory programs, and representative conduct—serving as an escalation point for complex issues
+ Evaluate account activity against client profiles, including risk tolerance, objectives, and investment strategies
+ Analyze surveillanc...