Compliance Analyst - IA Administration

Compliance Opportunity in Financial Services

Compliance Analyst – IA Administration & Support

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 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: $65k - $69k per year + annual performance-based 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. To view more details of what you can look forward to, visit our careers page:  Osaic Benefits .

Summary:

The Investment Advisory Compliance Analyst supports the Investment Advisory Compliance Administration Team by serving as the primary point of contact for financial advisors, advisor support staff, and internal business partners. This role is responsible for responding to compliance-related inquiries, assisting with administration of the compliance policy and procedures. The ideal candidate is highly organized, detail-focused, and able to work effectively in a collaborative team environment.

Education Requirements:

Bachelor’s Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience will be considered 

Responsibilities:

• Respond to incoming emails and phone calls from financial advisors, advisor office personnel, and internal departments regarding investment advisory compliance matters.
• Provide guidance and support on routine compliance questions, policies, and procedures, and administrative processes.
• Assist with the review, maintenance of Form ADV Part 2B Brochure Supplements.
• Support the onboarding and maintenance of Investment Advisor Representatives (IARs).
• Coordinate with Compliance Operations, Supervision, Legal and other internal departments to resolve advisor inquiries and support business initiatives.
• Monitor assigned workflows and ensure tasks are completed accurately and within established service standards.
• Review/update desktop procedures when necessary.
• All other duties as assigned.

Basic Requirements:

• Minimum of two years of relevant work experience with a broker/dealer, registered investment adviser, regulatory agency, or similar financial institution.
• Excellent verbal and written communication skills.
• Must be proficient with MS Office (Word, Excel, PowerPoint, and Outlook).
• Strong abilities in analytical thinking, problem solving, research, and time management.

Preferred Requirements:

• Prior Customer Service experience
• FINRA Series 7, 24 66 or 63/65) a plus.
• Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933.

Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we 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 (or the perception of a disability), 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.

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.

Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.