Sr Analyst, Hybrid IA Compliance

Senior Analyst for Regulatory Services Opportunity in Financial Services

Senior Analyst, Hybrid IA Compliance

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:             $90,000 - $100,000 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.

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: https://careers.osaic.com/Creative/Benefits.

Summary:

Senior Analyst, Hybrid IA Compliance will be responsible for providing oversight functions to Financial Professionals that provide investment advisory services to clients through an Independent RIA or that provide investment advisory services in a dual RIA affiliation capacity. Additionally, this role will be involved in a variety of other compliance responsibilities, including development and implementation of regular reporting, surveillance reviews and corrective action related to monitoring of the investment advisory business, under the direction of the Director of IA Compliance Policies, Procedures & Testing. This position involves daily interpreting and applying compliance policies and procedures to business practices, communicating with Financial Professionals and other functions of the Investment Advisory Compliance team.

An ideal candidate must:

• Have a thorough understanding of the securities industry
• Possess well-developed analytical skills, highly organized with the ability to handle multiple tasks and multiple priorities simultaneously
• Work well in a fast-paced and complex collaborative environment
• Excellent interpersonal, troubleshooting and communication skills
• Proficiency in MS Excel

Education Requirements:

• Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required.   

Responsibilities:

• Supporting the IA Compliance with reviews of the investment advisory services provided to clients through an Independent RIA.
• Supporting the IA Compliance with reviews of the investment advisory services provided to clients through dually RIA affiliated Financial Professionals.
• Partnering with Compliance, Supervision, Legal, Operations and other internal business partners to address inquiries and assist with issue resolution.
• Working with Financial Professionals and Supervision to gather information as part of internal tasks and procedures.
• Producing various other data capturing tasks and procedures for IA Compliance.
• Identification and escalation of issues to senior management as necessary.
• Ensure compliance with Firm and industry regulations.
• Identify and share best practices or process improvements.

Basic Requirements:

• 3-5 years of relevant work experience such as RIA or regulatory agency
• Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 Securities Act of 1933, Securities Act of 1934 and FINRA rules and Regulations
• Excellent verbal and written communication skills
• Must be proficient with MS Office and Word and Excel. 
• Strong abilities in analytical thinking, problem-solving, research, and time management. Ability to think through complex Compliance issues.
• Ability to work on assignments independently, using a high level of judgment and initiative in resolving problems and developing recommendations

Preferred Requirements:

• FINRA Series 7, 24, 66, or 65.

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.