Compliance Analyst

1 day ago

Scottsdale, AZ, United States Advisor Group Full time
Current Employees and Contractors Apply Here
Osaic Careers

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.

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:

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) in combination with significant practical experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.
Responsibilities:
  • Reviews financial professionals' book of business for common risks and regulatory issues.
  • Creates 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.
  • Delivers 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 and necessary.
  • Conducts Quality Assurance of analyst deliverables for financial professional profiles and Activity Based Reviews.
  • SME for all Surveillance report IT/QA/UAT testing
  • Train new/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 strongly preferred.)
  • Ability to analyze large amounts of trade data and to think through complex Compliance issues.
  • Must be detail-oriented, investigative and have the ability to handle a high volume of work independently.
  • Ability to interpret Compliance Policies and Procedures, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation
  • Effective communication skills, both written and verbal.
Preferred Requirements:
  • FINRA Series 7 and 24 preferred.
  • Insurance license preferred
  • 2+ years' regulatory experience is preferred.
  • Experience at an independent broker-dealer is preferred


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