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OSJ / Sales Supervisor / Trade Surveillance Analyst in Dallas, TX at 1st Global

Date Posted: 9/24/2018

Job Snapshot

Job Description

The OSJ / Sales Supervisor / Trade Surveillance Analyst is responsible for reviewing and monitoring trading reports, providing support for various reporting functions, primarily exceptions report monitoring function, trade reports and research analysis. The OSA should have a comprehensive knowledge of capital markets as well as a working knowledge of order entry systems, fixed income markets, fee based accounts trade error analysis and reporting. The OSA works closely with trading and the Manager of Regulatory and Surveillance, and interacts with Advisors and Assistants to provide education on required procedures and to request information and documentation.


KEY JOB FUNCTIONS

All responsibilities are generally performed on a daily basis, unless otherwise noted. Specific responsibilities include, but are not limited to the following:

Provide T+1 oversight and trade activity review including but not limited to:
o Trade error review
o Blotter Review
o Margin reports
o Control and Restricted stock
o Options
o Penny Stocks
o Mutual Fund activity
o Licensing Violations
o Managed Account reports
o Selling Dividends
o Internal Exception reports
• Provide in depth analysis on various reports to identify potential sales practice issues as it relates to trading practices
• Periodically test the integrity of trading report data to ensure that internal reports provide accurate and meaningful data.
• Independently generate exception reports and conduct due diligence to provide to the Sales Surveillance mgr for analysis, including contact with Advisors/Assistants/Operations staff.
• Generate ad hoc reports/charts to ensure quality control tracking and to assist Surveillance Director identify trends.

ADDITIONAL FUNCTIONS

• Provide explanation of internal policies and procedures to Advisors/Assistants.
• May contribute suggestions for more efficient procedures.
• Perform special projects, as assigned.
• Various writing assignments as assigned, including Procedural updates and forms revisions, including any necessary WSP revisions.


QUALIFICATIONS

• College degree preferred.
• A minimum of three years of sales supervision, trading and/or trade surveillance experience.
• Series 7 , 24 and 66 required, Series 4 and 53 desired.
• Must have strong knowledge of the FINRA and SEC regulations and general broker-dealer operations.
• Must have strong knowledge of Mutual funds and brokerage platforms
• Knowledge of NFS FBSI systems strongly preferred
• Knowledge of FIS/SunGard Protegent Surveillance (ProSurv) systems strongly preferred


SKILLS

• Must have excellent verbal and written communication skills.
• Must have strong attention to detail and ability to multi-task and prioritize jobs independently.
• Must have the ability to adapt quickly to changes or increases in work load, procedures and duties.
• Must be willing and effective at accomplishing tasks by working with others, including subordinates, peers and superiors.
• Must have excellent computer skills, including proficiency in Excel and other MS Office applications.

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