Surveillance Analyst

Surveillance AnalystRemote | $75k - $85k Base + Bonus + Full BenefitsW'e part of a high-performing Compliance & Supervision team supporting financial advisors and helping maintain regulatory excellence across a growing wealth management environment.We’re seeking a Surveillance Analyst with experience in Broker-Dealer or RIA supervision environments who enjoys investigative work, problem-solving, and partnering with advisors to navigate regulatory requirements.This is a fully remote opportunity with a strong compensation package, leadership visibility, and long-term career growth potential.ResponsibilitiesMonitor advisor activity and client account transactionsReview and investigate compliance exceptions and supervisory alertsMaintain detailed documentation suitable for regulatory reviewCommunicate directly with advisors and internal stakeholders regarding findings and resolutionsSupport requests tied to FINRA, SEC, state regulators, legal, and audit teamsAssist in identifying trends and improving surveillance processes and controlsPartner with internal teams to support compliance best practicesIdeal BackgroundExperience within financial services, Broker-Dealer, or RIA environmentsBackground in surveillance, supervision, compliance operations, trade review, or regulatory supportStrong attention to detail and organizational skillsAbility to manage multiple priorities in a deadline-driven environmentStrong communication and critical thinking abilitiesProfessional and collaborative approachRequired LicensesSeries 7Series 24Series 63PreferredSeries 65 or 66Exposure to advisor supervision or suitability review processes MOHR Talent is an equal-opportunity employer and complies with all applicable federal, state, and local nondiscrimination laws. We provide equal employment opportunities regardless of race, color, religion, sex, national origin, age, disability, marital status, sexual orientation, gender identity, genetic information, military/veteran status, or any other protected status. If you believe you have been discriminated against or have concerns about our compliance, please contact our Human Resources department at hr@themohrgrp.com