Brokerage Surveillance Analyst (Securities Compliance)

Location: Duluth, GA; hybrid work with required onsite and remote availability during the week. Candidates must be local.

Salary: $55,000–$60,000 per year

Company

hirify.global is a financial services company recognized as a leading workplace in the metro Atlanta area.

What you will do

• Research surveillance and monitoring exception reports to identify sales practice issues, red flags, unusual activity, and potential policy or regulatory violations.
• Collect transactional and account information from internal and third-party systems and summarize findings in tracking systems and reports.
• Investigate brokerage account purchase and redemption activity, investment-objective inconsistencies, suitability concerns, selling away, outside business activities, anti-money laundering issues, and vulnerable-client risks.
• Conduct product and best-interest discussions with representatives, branch managers, OSJ advisors, and clients.
• Communicate complex account activity and recommendations to senior management and explain management decisions constructively.
• Complete case documentation, provide training on securities topics, and refer matters to the appropriate departments when needed.

Requirements

• Must be local to Duluth, Georgia, and available for both onsite and remote work during the week.
• Bachelor’s degree or equivalent experience in the investment industry.
• SIE and Series 6 and 26 licenses, or Series 7 and 24 licenses; licenses may be obtained through a learning agreement.
• Working knowledge of brokerage products, product suitability, sales practices, compliance, and investment-industry best practices.
• Working knowledge of SEC, FINRA, and MSRB rules.
• Strong investigative, analytical, decision-making, communication, organizational, and critical-thinking skills, with proficiency in Microsoft Word, Excel, PowerPoint, data-management programs, and CRMs.

Culture & Benefits

• Monday-Friday schedule from 8am to 5pm.
• Health, dental, and vision insurance from day one.
• 401(k) plan with employer match.
• Vacation, sick, holiday, and volunteer time off.
• Life and disability insurance, flexible spending and health savings accounts.
• Professional development, tuition reimbursement, and company-sponsored social and philanthropy events.