About this role
Surveillance Analyst at Sanctuary Wealth Group LLC. Location: Indianapolis or San Antonio or Miami or Omaha or Portland. Role: monitoring activity, investigating alerts, documenting findings Requirements: 2+ years in compliance/surveillance within broker-dealer or investment advisory; FINRA/SEC laws knowledge; proficiency in data analysis and Excel; strong written/verbal communication; independent, detail-oriented; ability to manage multiple priorities. Category: Legal and Compliance Seniority: Mid Level Tools: InvestEdge, Microsoft Excel, Surveillance systems Certifications: series 7, series 66, series 24, series 4, series 63, series 65, life & health insurance (plus) Commitment: Full Time Workplace: Hybrid Languages: English