Senior Solar Energy Analyst assessing solar resources, production, and plant performance for DNV’s renewable energy consultancy. Preparing bankable energy analyses and technical reports for North American projects.
About the role
- Surveillance Analyst in financial services ensuring compliance and documentation to mitigate risk. Collaborating with teams and financial advisors for compliance-related projects.
Responsibilities
- 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.
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