Investment Advisory Services Surveillance Analyst
Position Description
Investment Advisory Services (IAS) Compliance provides compliance coverage and support to MSWM's discretionary, non-discretionary advisory and separately managed account businesses. IAS is seeking a Compliance Professional to perform surveillance of transactions and sales activity in Investment Advisory accounts. This person will also conduct testing of the policies and controls for the advisory programs, and provide advice and guidance to the business about the need to establish and maintain policies and procedures. The responsibilities of this position include:
- Using Firm systems to conduct surveillance of activity in Investment Advisory Accounts.
- Communicating with branch supervisors to resolve surveillance action items.
- Create and maintain metrics on the number and nature of action items identified and any patterns or trends associated with the activity.
- Work with investment advisory business to address systematic issues that may cause frequent account level violations.
- Work with the manager of the Monitoring and Testing program to conduct tests of the Investment Advisory business.
-Work with the MSWM advisory business to develop necessary and effective policies and controls.
- Work with the Advisory Coverage personnel to assist with special projects that arise from business initiatives.
The ideal candidate should be familiar with appropriate regulatory rules and should possess strong analytical and interpersonal skills.
Skills Required
Experience working with an Investment Advisor
Skills Desired
Series 7, Series 24, Series 63, 65 or 66 preferred but not required.
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