Surveillance Administrator

Morgan Keegan & Company, Inc., one of the South's premier regional investment firms and a Regions Financial compnay, has an immdediate opening in the Legal/Compliance Department for a Surveillance Administrator position.

This position is part of the Surveillance Department within our Compliance Department and reports directly to the Surveillance Manager.  As a member of this team you will review exception reports to monitor our Financial Advisor’s activities, complete any necessary regulatory filings, and provide feedback to the manager concerning trends and patterns resulting from your analysis of reports.  In this position, you will communicate with the Legal Department and Lines of Business on a regular basis and at times respond to external inquiries regarding policy and procedures.  In addition, you will participate in compliance projects that are both department specific, and company-wide.

 

The individual will also aid in the writing, editing and researching written supervisory procedures.

 

Hiring Criteria

-Demonstrated analytical and problem solving skills.
-A focus on attention to detail and ability to maintain a high level of accuracy.
-Strong verbal and written communication skills.
-Ability to work under pressure and juggle multiple tasks.
-Ability to work well in a team environment, as well as independently.
-Ability to be flexible and take on additional responsibilities as necessary.
-Ability to adjust to changing priorities and deadlines.
-Ability to maintain confidentiality.
-The candidate should be very familiar and competent using Microsoft Word and Excel.  Further, knowledge of

 Morgan Keegan systems is a plus.
-Compliance or audit experience would be very helpful.
-Broker Dealer or Mutual Fund industry experience is a plus.-At all times professional and tactful.