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Sr. Analyst/Supervisor - Financial Investigtions Unit

Securities America, Inc. La Vista, NE

Job Description




Sr. Analyst/Supervisor – Financial Investigations Unit

Financial Investigations Unit Mission Statement:

The mission of the Financial Investigations Unit (FIU) is to monitor and identify activities which pose financial, regulatory, operational or reputational risk to the firm. The Unit accomplishes this by analyzing, trending, investigating and reporting actionable information throughout the Surveillance, Anti-Money Laundering, Privacy and Vulnerable Adults programs within the FIU.

Position Overview:

This position reports to the Senior Manager of the FIU. The primary responsibility of this job is to supervise the activities of FIU analysts and specialists in the performance of their duties, provide administration and technology support for the various systems used in the Compliance Department of Securities America Financial Corporation (SAFC), and provide supervisory guidance on escalated items resulting from trend analysis.  This position will also lead efforts to perform tuning and optimization of Compliance systems, to ensure systems are working effectively, are producing expected results, to reduce non-productive output, assist in the training and mentoring of FIU analysts and specialists, maintenance of Securities America’s risk mitigation technology systems, and development of procedures that effectively trend current and future risks. This position will have five direct reports. 

Position Requirements:

• Bachelor degree in Finance or Information Systems or other business or technology related field or equivalent professional experience.

• 0-2 years supervision experience preferred. 

• 3-5 years previous financial services industry experience, including Compliance experience.

• 3-5 years experience with the FIS Protegent system (Surveillance, Personal Trading Assistant), NFS Wealthscape, Pershing NetX360, Equifax and Lexis Nexis 

• Knowledge of Securities Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and State compliance rules and regulations.

• Knowledge and experience with systems administration, including tuning and optimization of system parameters and thresholds.

• Knowledge of supervisory techniques to accomplish instruction, motivation, and training of personnel

• Ability to write, maintain and update systems documentation and user guides.

• Ability to communicate with co-workers, customers, and various business contacts in a courteous and professional manner.

• Ability to maintain confidentiality.

• Ability to organize, prioritize, and handle multiple tasks.

• Ability to plan and implement organizational and department goals.

• Ability to resolve problems and make rule based decisions.

• Ability to review and revise processes and procedures.

• Ability to review work for accuracy.

• Ability to be at work on a regular and predictable basis.

• Excellent skill in analyzing complex business processes.

• Knowledge of and belief in the quality improvement process.

• Skill in working with a diverse team.

• Proficient in the MS Office Suite of software

• Expert level Proficient in Microsoft Excel & Access.

• Excellent verbal and written communication skills

• FINRA Series 7, 63 or 66, and 24 required, Series 4 and 53 preferred

Position Duties/Tasks:

This position is responsible for, but not limited to, the following:

1. Solve non-routine issues and make judgment based decisions on escalated concerns.

2. Periodically verify Supervision’s review and resolution of items on AWC reports, in Account Risk Rank, and on other issues.  

3. Develop trend reports and other risk procedures designed to oversee emergent industry, company, and representative risks. 

4. Assist in the training and mentoring of the FIU team regarding performance of their daily duties.

5. Coach and mentor staff, including providing employees with development opportunities

6. Responsible for hiring, onboarding, training, goal setting, time card review, merit and bonus reviews

7. Conduct regular and individual team meetings, coach performance and identify opportunities for proactive improvements

8. Continually focus on process improvement opportunities and driving change

9. Performing systems administration for the various systems used by the Compliance Department.

10. Collaborate among systems user groups, including affiliated broker-dealers, to ensure systems are meeting the needs of users.

11. Act as Subject Matter Expert on the various systems used by the FIU and Supervision, answering questions of users.

12. Create new alert scenarios, to address identified risks and increasing regulatory expectations.

13. Conduct system and data validation, as well as optimization and tuning of system parameters and thresholds.

14. Assist in FIU case oversight and guidance/direction

15. Facilitate periodic meetings to ensure strong relationships with other Compliance and Sales Supervision business units.  

16. Coordinate with the Information Systems Department on the maintenance and updating of systems, including data mapping to add new data points in the various systems used by the FIU and Supervision.

17. Perform quarterly user access reviews, verifying the roles and rights for all users.

18. Create user documentation for technology products and applications.

19. Administer change requests to SAI’s primary risk mitigation technology systems.

20. Maintain, review and update User Guides for both the FIU and Supervision.

21. Assist in writing, updating, and maintaining standard operating procedures (SOPs) to assure proper documentation of current processes.

22. Prepare statistical reports for manager as requested.

23. Perform other duties as assigned.


Job Details

Date Posted October 8, 2018
Date Closes November 7, 2018
Address 12325 Port Grace Boulevard
Located In La Vista, NE
Department Compliance
Job Type Full-time Employee
Experience Level Intermediate (3-7 yrs. experience)
Start Date Immediately
Positions Available 2
SOC Category 13-2052.00 Personal Financial Advisors
Zipcode 68128
Name Human Resources
Address 12325 Port Grace Boulevard
City, State and Zip LaVista, NE 68128
Phone 1-800-747-6111
FAX 402-384-7589

This job offers the following benefits

  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • Dental
  • Dependent Life Insurance
  • Employee Assistance Program (EAP)
  • Life Insurance
  • Long-Term Disability
  • Maternity / Paternity / Family Leave
  • Medical
  • Prescription Drug Plan
  • Short-Term Disability
  • Vision
  • Voluntary Life Insurance
  • Bereavement Pay
  • Casual Dress
  • Continuing Education Program
  • Dry Cleaning / Laundry
  • Employee Referral Program
  • Fitness Classes
  • Free Parking
  • Health Fair
  • Holiday Party
  • Massage Therapy
  • Nursing Facilities
  • Paid Holidays
  • Paid Vacations
  • Tuition Reimbursement
  • Wellness Program
  • Bonus Plan
  • Merit Increases

This job requires the following skills

  • Fraud Investigations
At a Glance
Enjoy these benefits
  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • And More ...