Compliance Analyst, Customer Complaints

Compliance Opportunity in Financial Services

Compliance Analyst, Customer Complaints

Preferred Location(s):         

2300 Windy Ridge Parkway, Atlanta, GA 30339
877 Executive Center Drive West, St. Petersburg, FL 33702
7755 Third Street North, Oakdale, MN 55128
12325 Port Grace Boulevard, La Vista, NE 68128
18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

Schedule:   Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants must be willing to work this schedule.

Role Type:     Full-Time

Salary:            $75,000 - $100,000 per year + annual bonus 

• Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and education.
• Our competitive salaries are just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, vacation and sick time, 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:

Osaic is seeking an organized, detailed and energetic Compliance Analyst to join our Customer Complaint team, responsible for reviewing and responding to customer related grievances. The ideal candidate will be a strong collaborator who can thrive in a fast-paced environment, has an attitude of inquisitiveness and a desire to learn and explore new things.

Responsibilities:

• Document and resolve customer complaints in a timely manner.
• Partner with Compliance, Supervision, Legal and Operations resources to ensure proper handling of customer complaints, including investigations and any required filings.
• Work with advisors and supervisors to gather information as part of the complaint investigation and documentation required for the complaint file.
• Work with customers to gather additional information to ensure matters are handled in an objective and fair manner.
• Identify and escalate complaints to senior management as necessary.
• Complete all required filings in accordance with regulatory rules (i.e. 4530(d) and U4/U5 amendment filings) and within the appropriate timeframes.
• Identify and share best practices or process improvements.

Education Requirements:

• Bachelor’s Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience will be considered in lieu of a degree.

Basic Requirements:

• At least 2 years of experience in a similar capacity.
• Excellent communication skills, both written and verbal, for effective interaction with customers and stakeholders at all levels. 
• Ability to interpret the Compliance Manual, FINRA Rules and Notices to Members, Compliance notices, and other publications concerning broker/dealer regulations.
• Working knowledge of FINRA Rule 4530 and Form U4/U5.
• Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds.
• Must be organized, detail-oriented, investigative and have the ability to handle a high volume of work independently.

Preferred Requirements:

• Legal, paralegal and/or regulatory experience a plus. 
• FINRA Series 7 and 24.
• Insurance license.
• Prior customer complaint handling experience.