Compliance Analyst

Compliance Risk Opportunity in Financial Services Compliance Analyst 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 $55,000 - $63,000 per year + annual bonus Actual compensation offered will be determined individually, based on a number of job‑related factors, including location, skills, licensure, experience, and education. Additional benefits include health, vision, dental insurance, 401(k), paid time away, volunteer days and more. Summary The Compliance Analyst plays a critical role in safeguarding the integrity of Osaic’s financial services operations by monitoring advisor activity and identifying potential compliance risks. This position is responsible for conducting detailed reviews of financial professionals’ books of business, analyzing trade data, and detecting patterns that may indicate regulatory or policy concerns. The analyst will collaborate closely with Internal Supervision, Compliance, and Senior Management to deliver actionable insights and ensure adherence to industry standards and firm policies. This role requires strong analytical skills, attention to detail, and the ability to interpret complex regulatory requirements. The Compliance Analyst will also contribute to the development of surveillance procedures, lead special projects, and serve as a subject‑matter expert for system testing and quality‑assurance initiatives. Education Requirements Bachelor’s degree preferred; high school diploma (or equivalent) combined with significant practical experience will be considered in lieu of a degree. Minimum of high school diploma or equivalent is required. Responsibilities Review financial professionals’ books of business for common risks and regulatory issues. Create representative summaries detailing negative trends including high rates of variable annuity replacements, mutual fund B‑share and C‑share concerns, high rates of mutual fund switching, alternative investment liquidity issues, etc. Deliver trend summaries to Internal Supervision, Compliance, and Senior Management teams for review and follow‑up. Assist Surveillance Manager in the creation and editing of Surveillance procedures. Lead additional projects and regulatory requests as necessary. Conduct quality assurance of analyst deliverables for financial professional profiles and activity‑based reviews. Serve as SME for all Surveillance report IT/QA/UAT testing. Train new and current Compliance Analysts. Basic Requirements Three to five years of experience in the financial securities industry is required. Must be proficient with MS Office and Word; proficiency with MS Excel is a must. Knowledge of the retail brokerage business and common investment products—including mutual funds, variable annuities, alternative investments, stocks, and bonds—is required. (Additional knowledge in variable annuities and mutual funds is strongly preferred.) Ability to analyze large amounts of trade data and think through complex compliance issues. Must be detail‑oriented, investigative, and able to handle a high volume of work independently. Ability to interpret compliance policies and procedures, FINRA manuals, FINRA Notices to Members, compliance notices, and other publications concerning broker‑dealer regulation. Effective communication skills, both written and verbal. FINRA Series 7 required. Preferred Requirements Insurance license preferred. Two or more years’ regulatory experience preferred. Experience at an independent broker‑dealer preferred. FINRA Series 24 preferred. Equal Opportunity Employer Osaic is an equal‑opportunity employer. We celebrate diversity in our workplace and hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities, genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law. Eligibility Applicants for employment in the U.S. must have valid work authorization that does not now or in the future require sponsorship of a visa for employment authorization in the U.S. by Osaic. Unqualified Applications Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting. Recruiting Agencies Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions. #J-18808-Ljbffr