Surveillance Analyst

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Dayforce

WebsiteLinkedInAll Job Openings

5001 - 10000 employees

👥 HR Tech

☁️ SaaS

🏢 Enterprise

💰 $1G Post-IPO Debt - Dayforce on 2024-03

HR Tech • SaaS • Enterprise

Dayforce is a cloud-based human capital management (HCM) platform developed by Ceridian. It provides integrated payroll, HR, workforce management (time and attendance, scheduling), benefits administration, talent management, and related compliance and analytics tools, delivered as a SaaS solution for employers. Dayforce is primarily used by businesses to manage employee lifecycle and payroll processes in a single system.

📋 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.