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Sales Supervisor / Trade Surveillance \u0026 CIP-OFAC Analyst in Dallas, TX at 1st Global

Date Posted: 6/20/2018

Job Snapshot

Job Description


The OPERATIONS SURVEILLANCE ANALYST (“OSA”) is primarily responsible for supervising sales activity of independent Registered Representatives and Investment Adviser Representatives.  This sales supervision includes, but is not limited to, reviewing exception-based reports and monitoring trade alerts. The OSA should have a comprehensive knowledge of FINRA and SEC rules and regulations, plus general broker-dealer and RIA operations. The OSA works closely with capital markets trading and the OPERATIONS SURVEILLANCE MANAGER (“OSM”), and interacts closely with Advisors and their Assistants to provide education on required procedures and to request information and documentation.


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:

  • Blotter Review
  • Trade error review
  • Active and Inactive Account Reviews
  • Concentration reviews, calculations, analysis, and resolutions
  • Margin reports
  • Control and Restricted stock
  • Options activity
  • Low Priced Security reviews
  • All Mutual Fund trading activity
  • Potential Licensing Violations
  • Advisory/Managed Account reviews and reporting and
  • General account- and client-level suitability analysis
  • 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 OSM for analysis, including contact with Advisors/Assistants and other Operations staff.
  • Generate ad hoc reports/charts to ensure quality control tracking and to assist Surveillance Manager identify trends.


  • Provide explanation and education of both WSP and 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.


  • College degree preferred.
  • A minimum of three years of sales supervision, trading and/or trade error analysis experience.
  • Series 7, 24 and 66 required, Series 4 and 53 desired.
  • Must have strong knowledge of the FINRA and SEC regulations and general B-D and RIA 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


  • Must have strong verbal and written communication skills.
  • Must have an excellent attention to detail and the ability to prioritize workloads 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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