Compliance Analyst

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 collaborates closely with Internal Supervision, Compliance, and Senior Management to deliver actionable insights and ensure adherence to industry standards and firm policies. The role requires strong analytical skills, attention to detail, and the ability to interpret complex regulatory requirements. Locations Office locations include Atlanta (2300 Windy Ridge Pkwy SE, Suite 750, Atlanta, GA 30339), LaVista (12325 Port Grace Blvd, LaVista, NE68128), Oakdale (77553rd St.N, Oakdale, MN55128), Scottsdale (18700N Hayden Rd, Suite255, Scottsdale, AZ85255), and St.Petersburg (877Executive Center Dr.W, Suite300, St.Petersburg, FL33702). Remote candidates are not considered. Employees must be located at one of these hubs and must be willing to work a hybrid schedule requiring a minimum of four days per week in the office. Compensation Full‑time. Salary $55,000 – $63,000 per year + annual bonus. Compensation is determined based on factors such as location, skills, experience, and education. Benefits include health, vision, dental, 401(k), paid time off, volunteer days, and more. Education Requirements Bachelor’s degree preferred; high school diploma or equivalent in combination with significant practical experience is considered in lieu of a degree. Minimum 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 needed. Conduct quality assurance of analyst deliverables for financial professional profiles and activity‑based reviews. Serve as subject‑matter expert for 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. Proficiency with MS Office and Word. Proficiency with MS Excel. Knowledge of the retail brokerage business and common investment products, including mutual funds, variable annuities, alternative investments, stocks, and bonds. Ability to analyze large amounts of trade data and think through complex compliance issues. Detail‑oriented, investigative, and able to handle a high volume of work independently. Ability to interpret compliance policies and procedures, FINRA manual, FINRA Notices to Members, and other broker‑dealer regulatory publications. Effective communication skills, both written and verbal. FINRA Series7 required. Preferred Requirements Insurance license preferred. 2+ years of regulatory experience preferred. Experience at an independent broker‑dealer preferred. FINRA Series24 preferred. #J-18808-Ljbffr