Surveillance Analyst

Dayforce

Surveillance Analyst working in financial services firm to mitigate risk and ensure compliance. Collaborating with financial advisors and teams on regulatory issues and documentation.

Posted 7/29/2026full-timeRemote • 🌎 Anywhere in the World, 🇺🇸 United StatesMid-LevelSeniorWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in compliance within financial services, particularly in Broker/Dealer and Investment Advisory regulations, while effectively communicating and collaborating with team members and financial advisors. Strong analytical and documentation skills are essential for interpreting regulations and maintaining thorough records for regulatory examinations.

Highest-signal resume keywords

Compliance ExperienceBroker/Dealer RegulationsSeries 7, 63, and 24Analytical SkillsMicrosoft Office Proficiency

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Regulatory DocumentationInvestigative SkillsAnalytical SkillsTime ManagementDetail Orientation

Soft Skills

Team PlayerHolistic CommunicationOrganizational Skills

Tools & Technologies

Microsoft Office Applications

Certifications & Qualifications

Series 7Series 63Series 24Series 65Series 66

Industry Keywords

Financial ServicesRIABroker-DealerFINRASEC

About the role

Key responsibilities & impact

Meet predetermined goals for both team & individual assignments based on both quality and volume of work completed.
Communicate with financial advisors and Manager to resolve and document issues and resolutions.
Collaborate with team members and other internal staff to develop enhanced tools and techniques.
Assist in completing document requests from FINRA, SEC, state securities boards, as well as internal auditors or legal department.
Investigate, document, and escalate regulatory and policy exceptions in accordance with firm procedures.
Maintain thorough, defensible documentation suitable for regulatory examination.
Other compliance-related projects and tasks as assigned by the Surveillance Manager.
Sound understanding of Broker/Dealer and Investment Advisory regulations.
Holistic communication style, balancing a service approach with business requirements.
Detail oriented with strong organization & time management skills.
Ability to interpret regulations and apply them to real‑world advisory and brokerage activity.
Strong investigative, analytical, and written documentation skills.
Strong team player.
Proficient with Microsoft Office applications and ability to learn other internal applications.

Requirements

What you’ll need

3+ years’ experience in financial services, preferably within an RIA and/or Broker-Dealer environment.
Compliance experience preferred.
College degree is preferred, preferably in finance, economics or business.
Series 7, 63 and 24 required.
Series 65 or Series 66 preferred.

Benefits

Comp & perks

🌐 Worldwide ❌ Jobs You've Hidden ⭐️ Saved Jobs ✅ Applied Jobs ✉️ Email Alerts 👤 Account Dayforce Website LinkedIn All Job Openings 5001 - 10000 employees 👥 HR Tech ☁️ SaaS 💰 $1G Post-IPO Debt - Dayforce on 2024-03 HR Tech
SaaS Dayforce is a cloud-based human capital management (HCM) platform (part of Ceridian) that provides payroll, workforce management (time & attendance), HR, benefits administration, and talent management as an integrated SaaS solution. It is used by employers to streamline workforce processes, run payroll, manage compliance, and gain real-time HR and payroll insights across mid-market and enterprise organizations. Surveillance Analyst Job not on LinkedIn 🔥 7 minutes ago 🌏 Anywhere in the World ⏰ Full Time 🟡 Mid-level 🟠 Senior 🧐 Analyst Apply Now Find Hiring Managers Customize resume + cover letter Report problem ☆ Save ☑️ Mark as applied ❌ Hide 📋 Description
Meet predetermined goals for both team & individual assignments based on both quality and volume of work completed.
Communicate with financial advisors and Manager to resolve and document issues and resolutions.
Collaborate with team members and other internal staff to develop enhanced tools and techniques.
Assist in completing document requests from FINRA, SEC, state securities boards, as well as internal auditors or legal department.
Investigate, document, and escalate regulatory and policy exceptions in accordance with firm procedures.
Maintain thorough, defensible documentation suitable for regulatory examination.
Other compliance-related projects and tasks as assigned by the Surveillance Manager.
Sound understanding of Broker/Dealer and Investment Advisory regulations.
Holistic communication style, balancing a service approach with business requirements.
Detail oriented with strong organization & time management skills.
Ability to interpret regulations and apply them to real‑world advisory and brokerage activity.
Strong investigative, analytical, and written documentation skills.
Strong team player.
Proficient with Microsoft Office applications and ability to learn other internal applications. 🎯 Requirements
3+ years’ experience in financial services, preferably within an RIA and/or Broker-Dealer environment.
Compliance experience preferred.
College degree is preferred, preferably in finance, economics or business.
Series 7, 63 and 24 required.
Series 65 or Series 66 preferred. Apply Now 📊 Check your resume score for this job Improve your chances of getting an interview by checking your resume score before you apply. Check Resume Score Similar Jobs Senior Treasury Analyst 🕒 Yesterday Edged 51 - 200 🤝 B2B ⚡ Energy Website LinkedIn All Job Openings Senior Treasury Analyst supporting treasury operations at Edged, focusing on debt administration and forecasting. Collaborating with treasury management and financial reporting duties. 🌏 Anywhere in the World ⏰ Full Time 🟠 Senior 🧐 Analyst M&A Analyst 🕒 July 15 BlueThrone 51 - 200 💼 Consulting 📣 Marketing 👥 B2C Website LinkedIn All Job Openings Investment Associate responsible for sourcing, evaluating, and executing mobile app acquisitions at BlueThrone. Join our fast-paced Investment team to drive strategic growth. 🌏 Anywhere in the World 💰 Seed on 2022-04 ⏰ Full Time 🟢 Junior 🟡 Mid-level 🧐 Analyst View More Analyst Jobs 🌐 Worldwide Built by Lior Neu-ner. I'd love to hear your feedback — Get in touch via DM or support@remoterocketship.com Search Search Jobs by country Search jobs by city Search jobs by job title Search entry-level jobs Search junior-level jobs Search senior-level jobs Search jobs by tech stack Search jobs by contract type Search remote internships Search remote part-time jobs Remote jobs Anywhere in the World Companies Hiring Anywhere in the World Companies Hiring Sales People Anywhere in the World Companies Hiring Software Engineers Anywhere in the World Resources Advice Tips for finding remote jobs Interview questions and answers Resume examples Cover letter examples Post a job Affiliates Is Remote Rocketship legit? Privacy policy Terms of service Job board SEO course Remote Job Search MasterClass AI Apply Copilot OpenClaw job finder Find jobs using your resume Jobs by Country Remote jobs anywhere in the world (Worldwide remote jobs) Remote jobs United States Remote jobs Australia Remote jobs Brazil Remote jobs Canada Remote jobs France Remote jobs Ireland Remote jobs Germany Remote jobs Netherlands Remote jobs Spain Remote jobs UK Popular Jobs Remote data analyst jobs Remote customer support jobs Remote executive assistant jobs Remote marketing jobs Remote product designer jobs Remote product manager jobs Remote project manager jobs Remote recruiter jobs Remote sales jobs Remote software engineer jobs Jobs by Type Remote full-time jobs Remote part-time jobs Remote contract jobs Remote internship jobs Remote entry-level jobs Remote jobs with no experience required Remote junior jobs (1-3 years of experience) Digital nomad jobs Remote jobs with no degree required Freelance remote jobs Temporary remote jobs Remote jobs hiring now Stay at home mom jobs