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 from Ceridian. It provides integrated payroll, HR, workforce management, benefits administration, talent management, scheduling, and related employee lifecycle services in a single SaaS solution. Dayforce is designed for employers and HR/people-operations teams to handle payroll processing, time and attendance, workforce optimization, and compliance in a unified enterprise 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.