Compliance & Surveillance Analyst

Compliance & Surveillance Analyst The MOHR Enterprises LLC Tempe, AZ Job Details $75,000 - $85,000 a year 2 hours ago Qualifications Series 7 Full Job Description Compliance & Surveillance Analyst Remote | $75k - $85k Base + Bonus + Full Benefits We've partnered with a well-established and growing financial services organization seeking a Compliance & Surveillance Analyst to join their Supervision team. This opportunity is ideal for someone with experience in a Broker-Dealer or RIA environment who enjoys investigative work, regulatory review, and helping mitigate risk tied to advisor activity and client accounts. The organization offers a collaborative and stable environment with strong leadership, long-term growth potential, and the flexibility of a fully remote setup. Key Responsibilities Review advisor activity, transactions, and account-related exceptions Investigate and document regulatory or policy-related concerns Escalate issues appropriately while maintaining detailed documentation Communicate with advisors and internal departments regarding compliance-related matters Assist with regulatory requests tied to FINRA, SEC, audits, and internal reviews Utilize internal systems and reporting tools to monitor activity and identify risk trends Support ongoing compliance and supervision initiatives as needed What They're Looking For 3+ years of experience within a Broker-Dealer, RIA, or financial services environment Background in compliance, surveillance, supervision, trade review, or risk monitoring Strong analytical and investigative mindset Ability to interpret regulations and apply sound judgment Excellent written communication and organizational skills Comfortable working in a fast-paced, high-accountability environment Required Licenses FINRA Series 7 FINRA Series 24 FINRA Series 63 Preferred Series 65 or 66 Prior experience reviewing advisor activity or suitability concerns 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 #LI-NM1