Surveillance Analyst

Location: Indianapolis, IN, San Antonio, TX, Miami, FL, Omaha, NE or Portland, OR

Compensation Package: $85,000-$100,000 Base Salary (*commensurate with experience) + 10% Annual Bonus Eligibility + Competitive Benefits Package + Unlimited PTO

Join Our Team at Sanctuary Wealth - Sanctuary Wealth is a leading partnered independence platform for elite financial advisors and wealth management firms, designed to empower entrepreneurial teams to build, own, and grow their practices while delivering exceptional client outcomes.

As a rapidly growing organization with a national network of partner firms and a fully integrated RIA and broker-dealer platform, Sanctuary provides the infrastructure, technology, and compliance support that allows advisors to focus on what matters most—serving clients and growing their businesses.

Position Summary - The Surveillance Analyst provides supervisory and compliance oversight by monitoring Broker-Dealer and Registered Investment Advisor (RIA) activities across Sanctuary Securities and Sanctuary Advisors.

This position is responsible for conducting and enhancing the firm's surveillance program to identify potential market manipulation, trading irregularities, and compliance issues across brokerage and advisory business lines.

The Analyst will perform daily reviews of transactions and communications, investigate alerts for possible violations, and escalate issues to as needed.

In addition, this role will help maintain a robust supervisory framework by assisting with regulatory inquiries, developing surveillance metrics, refining surveillance tools, and supporting other delegated supervisory responsibilities to ensure the firm’s compliance with FINRA and SEC regulations.

• Conduct ongoing surveillance of trading activity (brokerage transactions) and investment advisory activities to detect potential regulatory violations, market manipulation, or compliance issues.