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FFS Surveillance Analyst

3409

We are Farmers!

 

You may know us from our 'We believe in Smart' advertisements; "We know a thing or two, because we've seen a thing or two."

 

Did you know we are a certified Great Place to Work? 

 

Join a team of diverse professionals at Farmers to acquire skills on the job and apply your learned knowledge to future roles at Farmers. Farmers Insurance also offers extensive training opportunities through the award winning University of Farmers named by Training magazine amongst top 10 corporate training units in the world.

What you'll do...

The Surveillance Analyst will provide support to the Operations/New Accounts and Compliance teams by conducting surveillance and monitoring tasks in support of the firm’s operational and compliance activities. The Surveillance Analyst adds value to FFS by monitoring risk areas, via reports/flagged items, email reviews and data mining. The analyses conducted identifies areas to improve front and back end controls, streamline existing and create new surveillance processes.

 

Here's what you'll accomplish in this role...

Monitor various internal and external compliance areas or programs including, but not limited to: license determination and application of license exceptions, suitability and other customer account related research and reconciliation, post-execution transaction surveillance <(>&<)> corrections (e.g. breakpoint violations, short term switches) case review, process documentation, and recordkeeping of surveillance department activities review of suitability and fiduciary standards data mining and analysis of firm <(>&<) > CRD data lead data cleanup efforts (in conjunction with IT) provide guidance on data validity, need and system to system translation Apply federal and state regulations relevant to the firms products, processes, practices, and procedures and provide guidance accordingly Monitor and analyze customer accounts and transactions identified for potential violations of securities regulations Respond timely and in an acceptable manner to either internal or external customer requests for trade compliance operational support. Resolve any problems or compliance exceptions on suitability and other customer account and transaction issues. Strive to exceed customer expectations. Prepare recurring or ad hoc reports, and conduct data analysis including the ability to research, resolve, and escalate matters identified as required Generate customized output reports and statistical information on customers, accounts and transactions for review, monitoring and de tection of exceptions. Create custom reports geared towards filling potential Surveillance gaps Execute surveillance processes while assuring compliance with company policies and procedures and applicable federal and state level regulations. Identify and escalate potential violations of customer transaction compliance regulations and implement process improvements to mitigate risk Follow established guidelines and when appropriate, develop new metrics to measure and analyze trends, patterns and frequency of noted issues, deficiencies and violations. Maintain the agreed upon departmental SLAs. Partner with other departments to gather information, provide support, and ensure flawless execution of customer account/transaction compliance activities. Proactively identify opportunities for process improvements, increased efficiency, improved accuracy, or automation. Performs others tasks as assigned

What you need...

High school diploma or equivalent required. Bachelor’s degree preferred or equivalent combination of education and experience.

You'll thrive in this role if you have...

1-3 years broker dealer/securities industry experience; preferably with data mining/analysis focus

Additional Qualification

FINRA Series 6 or 7, 26 or 24, 63 or 66 is preferred.

Series 51 or 53, and other securities exams as required within first 90 days of employment.  

Job Location(s): US - CA - Westlake Village

Want to learn more about our culture & opportunities? Check out farmers.com/careers and be sure to follow us on Instagram and LinkedIn

Farmers is an equal opportunity employer, committed to the strength of a diverse workforce. ]]>


Nearest Major Market: Ventura
Nearest Secondary Market: Oxnard

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