Field Supervision Analyst I

Supervision Opportunity in Financial Services

Field Supervision Analyst I

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

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 on this schedule.

Role Type:     Full-Time

Salary:            $53,000 - $56,000 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 Supervision Analyst is an entry level opportunity to begin your Supervision career with Osaic. As a Supervision Analyst, you will be supported to grow personally and professionally, providing you the opportunity to obtain additional licensing and kickstart your long-term career in Supervision.

The following is an overview of the functions that will be performed by the Field Supervision Analyst. However, due to an ever-changing regulatory environment in which we operate and the growth and evolution of the firm, flexibility is required as job function and details of the work assignments may change over time.

Education Requirements:

• Associate degree from an accredited college is preferred.  Minimum of high school diploma or equivalent is required.

Responsibilities:

• Monitoring and tracking of various Financial Professional supervision and compliance requirements including blotter resolution, aged supervisory alerts, supervisory logs and surveillance escalations.
• Assists internal and external business partners with the gathering and reporting of information from various supervision systems.
• Develops and maintains relationships with team members, internal business partners and Financial Professionals.
• Works to identify red flag items to be escalated to management.
• Works with team members to address sales practice concerns, including training, or issuance of disciplinary letters.
• Provides extraordinary customer service to Financial Professionals and Home Office Staff, handle incoming calls (direct and via a department call queue) and respond to questions.
• Identify and route department work items in Salesforce and shared department email box.

Basic Requirements:

• Minimum 1 year in the financial services industry
• Minimum 2 years of administrative work in a high paced environment
• Strong professional communication skills to effectively communicate with advisors and home office staff.
• Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines.
• Strong analytical and problem-solving skills.
• Proven experience using MS Word and Excel as well as an aptitude to use new software as required.
• Knowledge of relevant FINRA and SEC rules and regulations
• Ability to navigate multiple computer programs simultaneously

Preferred Requirements:

• FINRA Series 6, Series 7 or Series 99 preferred
• FINRA SIE preferred
• Familiarity with MS Access, Outlook Scheduling a plus