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Regulatory Compliance Specialist Risk Manager/Analyst Financial Services Financial Analyst

Senior Surveillance Analyst — Compliance Risk Leader

Job in Scottsdale, Maricopa County, Arizona, 85261, USA
Listing for: Advisor Group
Full Time position
Listed on 2026-01-10
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist, Risk Manager/Analyst, Financial Services, Financial Analyst
Job Description & How to Apply Below
A financial services firm is seeking a Senior Surveillance Analyst to ensure compliance with regulatory standards through comprehensive reviews of advisor activities. The role includes analyzing risks, conducting investigations, and collaborating with various teams. Ideal candidates will have a bachelor's degree, 3-5 years in financial services, and proficiency in Microsoft Office, particularly Excel, alongside strong analytical and communication skills.
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Position Requirements
10+ Years work experience
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