Surveillance Analyst - Compliance job Houston Texas
Surveillance Analyst - Compliance job Houston Texas
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Surveillance Analyst - Compliance Job

Employer Name: SpiderID: 8760699
Location: Houston, Texas Date Posted: 6/23/2019
Wage: Negotiable Category: Finance/Investment
Job Code: JR1904589

Job Description:

We have an exciting opportunity for a Surveillance Analyst to join our Compliance team! You will be responsible for completing subjective reviews including, but not limited to: Financial Advisor/Branch/Regional profile, Product profile, adherence to policy and procedure for cause and/or discovery.

Specific responsibilities will include:

  • Identify and assist in mitigating compliance risk within the organization.

  • Review Field Advisor(s) business for common risk and regulatory issues.

  • Create summaries detailing negative trends including, but not limited to: product concentration, sales concentration, suitability concerns, high rates of exchanges, replacements and rollovers, mutual fund B-share and C-share concentrations, high rates of mutual fund switching, liquidity issues and the accuracy of documentation regarding expenses and the comparison of product features.

  • Deliver and track trend/for cause summaries to internal business units for review and follow up. Units such as: Supervision, Consumer Compliance, Field Compliance and/or Senior Management.

  • Participates in the creation and issuance of written procedures and respective Compliance communications.

  • Manage and maintain strong relationships with business partners.

  • Communicates and escalates issues as appropriate to the Senior Management.

  • Stay current on trends in our business.

Ideal Candidate will possess the following -

  • Bachelor's degree (preferred) and 1-2+ years of experience in the financial securities industry. Degree in Finance and/or an Internship within the financial services industry is a plus.

  • Must be proficient with MS Office Suite. MS Excel is a must.

  • Must be detail-oriented, intuitive, innovative, and have the ability to handle a high volume of work independently.

  • Must have effective communication skills with the ability to articulate concerns, both written and verbal.

  • Must have knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds. Strength in variable annuities and mutual funds highly preferred.

  • Ability to interpret and apply Standard Operating Procedures, the Sales Practice Manual, FINRA rules, SEC rules, product prospectuses, Compliance notices and other regulatory publications.

  • FINRA Series 7 and Series 24 are required for this role, but we will consider candidates as follows -

  • A minimum of FINRA SIE (Security Industry Essentials) is required if the candidate does not currently possess the Series 7,

  • FINRA Series 7 should be obtained within the first three months of employment. Two testing opportunities will be allowed.

  • FINRA Series 24 preferred, but should be obtained within the first three months of employment (if S7 is already secured) or within three months of obtaining S7. Two testing opportunities will be allowed.

About AIG

American International Group, Inc. (AIG) is a leading global insurance organization. Founded in 1919, today AIG member companies provide a wide range of property casualty insurance, life insurance, retirement products, and other financial services to customers in more than 80 countries and jurisdictions. These diverse offerings include products and services that help businesses and individuals protect their assets, manage risks and provide for retirement security. AIG common stock is listed on the New York Stock Exchange and the Tokyo Stock Exchange.

Join our Talent Network at Additional information about AIG can be found at and http:// | YouTube: | Twitter: @AIGinsurance | LinkedIn: These references with additional information about AIG have been provided as a convenience, and the information contained on such websites is not incorporated by reference into this press release.

Job Criteria:
Start Date:
Position Type: Full-Time Permanent
Years of Experience Required:
Education Required:
Overnight Travel:
Vacation Time:

Contact Information:
Contact Name: AIG Company Type:
Company: AIG

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