Compliance Opportunity in Financial Services
Compliance Analyst, Broker Dealer Core 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: $50,000 - $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:
We are looking for a driven and motivated individual to join our BD Core Compliance team. The Compliance Analyst will be responsible for reviewing onboarding candidates for firm affiliation as well as monitoring, researching and responding to compliance requests submitted by the firm’s financial professionals, office staff and internal department colleagues. The ideal candidate will exhibit organizational, analytical and problem-solving behaviors to support an array of compliance requests and inquiries while fostering a compliance culture across Osaic.
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:
- Perform due diligence reviews of onboarding financial professionals and registered support staff using internal and third-party research tools.
- Review office sharing arrangements and private securities transactions submitted by the Firm’s financial professionals for compliance with firm requirements.
- Communicate decisions through written letters of understanding, authorization or denial
- Conduct research and analysis using a wide variety of internal and external resources to facilitate reimbursements and settlements to customers.
- Review compliance requests and inquiries received into the BD Core Compliance Team and respond and route inquiries to respective departments.
- Handle BD Compliance queue calls from the field and internal colleagues.
- Investigate matters referred to Compliance involving possible policy violations.
- Work with advisors and supervisors to gather information and documentation required to resolve matters.
- Log and complete assigned work within department service levels and standards while keeping complete case records.
Basic Requirements:
- 5+ years of financial services industry experience
- 2 – 3 years of compliance or supervision experience
- Proficiency in MS Office applications (Word, Excel, Teams)
- Strong organizational skills and the ability to work within strict timeframes
- Strong verbal and written communication skills are required
- Ability to exercise judgement and discretion
- Ability to work across several systems
- FINRA Series 7 license
- Knowledge of financial industry compliance and regulations
- Knowledge of FINRA Form U4, Form U5 and Branch Registration Form
- Knowledge of consumer background reports and terminology
- Ability to interpret the Firm’s Compliance Manual, FINRA manual, FINRA Notices to Members, Compliance notices, and other publications concerning broker/dealer regulation, and internal policies and procedures
Preferred Requirements:
- FINRA Series 24, 65 or 66 licenses
- Experience with Salesforce, NetX360, Wealthscape
Top Skills
What We Do
Osaic provides the support, resources, and community designed for the future of wealth management.
Securities and investment advisory services are offered through the firms: Osaic Wealth, Inc., Osaic Institutions, Inc., Osaic FA, Inc., Osaic FS, Inc., and Triad Advisors, LLC, broker-dealers, registered investment advisers, and members of FINRA and SIPC. Securities are offered through Securities America, Inc., American Portfolios Financial Services, Inc., Osaic Services Inc., and Ladenburg Thalmann & Co., broker-dealers and member of FINRA and SIPC. Advisory services are offered through Arbor Point Advisors, LLC, American Portfolios Advisors, Inc., Ladenburg Thalmann Asset Management, Inc., Osaic Advisory Services, LLC, and Securities America Advisors, Inc., registered investment advisers. Advisory programs offered by Osaic Wealth, Inc., Securities America Advisors, Inc., and Triad Advisors, LLC., are sponsored by VISION2020 Wealth Management Corp., an affiliated registered investment adviser.
