Senior Regulatory Data Analyst

Senior Regulatory Data Analyst

Osaic is seeking a Senior Regulatory Analyst to join the Regulatory Relations team. This role is responsible for producing high-quality data and reports that support both Regulatory Relations and Legal. Key duties include collecting, integrating, analyzing, and reporting on complex data from multiple sources. Deliverables must be accurate and timely, as deadlines are frequently driven by regulatory agencies. The position requires a data-focused professional with experience preparing complex reports and a strong understanding of the financial services industry and its regulatory requirements.

Location(s):

Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339

La Vista:12325 Port Grace Blvd, La Vista, NE 68128

Oakdale: 7755 3rd St. N, Oakdale, MN 55128

Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702

Osaic is not considering remote candidates at this time.

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.

Role Type: Full-time

Salary: $85,000 - $100,000 per year + annual performance bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more.

Education Requirements:

• Bachelor's Degree from accredited university in Finance, Business Administration, Computer Science or similar degree is required

Responsibilities:

• Respond to all regulatory examination requests by performing detailed data analysis and generating comprehensive reports using the firm's production systems
• Develop ad-hoc statistical analyses and reports to support Legal and Regulatory initiatives
• Analyze and report data trends
• Assist with special projects, including producing compliance reports derived from noted deficiencies and recommendations from legal and regulatory reviews
• Design, produce, and maintain standard reporting packages commonly requested during regulatory reviews.

Basic Requirements:

• FINRA Series 7
• Ability to evaluate activities, reports, and manuals to determine compliance with regulatory guidelines
• Collaborate with the Legal and Regulatory Relations teams to gather required data and prepare responses to legal and regulatory inquiries
• Experience in MS SQL Server is required
• Proficiency in MS Office and various other business applications
• Experience in working on Snowflake cloud-based data platform
• Experience using reporting and analytics tools such as Power BI and Microsoft Excel to develop dashboards, automate reports, and support data-driven decision-making.
• 5+ years of reporting or data analytics
• Experience in Financial Services

Preferred Requirements:

• Strong written and verbal communication skills
• Ability to operate effectively as part of a project team or individually
• Series 24 (or S8 or S9/10)