Compliance Opportunity in Financial Services
Senior Compliance Analyst – IA Oversight
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: $77,000 – $87,000 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 Senior Compliance Analyst – IA Oversight will be involved in a variety of compliance functions including monitoring & testing, risk assessment, training, remediation and reporting of compliance issues within the RIA firms under direction of the SVP, IA Compliance. This Sr. Compliance Analyst – IA Oversight is involved on a day to day basis in interpreting and applying compliance policies and procedures to business practices.
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:
- Support the existing Investment Advisory surveillance program
- Conduct risk assessments and testing of IA compliance programs
- Perform Monitoring & Surveillance over business processes and controls
- Analyze current IA Compliance functions and suggest enhancements and standardization, where appropriate
- Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements
- Review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures
- Support advisors by providing guidance on RIA policy and procedures questions
- Execute desktop procedures for RIA surveillance and other IAR related activities
- All other duties as assigned
Basic Requirements:
- Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933.
- Prior experience with Rule 206(4)7 testing.
- Must be proficient with MS Office and Word. Proficiency with MS Excel is a must.
- 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.
- Strong written and verbal communication, including the ability to communicate with different levels of management.
- Strong surveillance experience.
Preferred Requirements:
- FINRA Series 7 and Series 24 are preferred
- Additional FINRA licensing (Series 66 or Series 63/65) a plus.
- Three to Five years of relevant work experience with a financial institution such as a broker/dealer, registered investment adviser, regulatory agency, or other financial institution.
Osaic Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Osaic and has not been reviewed or approved by Osaic.
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Leave & Time Off Breadth — Paid time away includes PTO, sick time, holidays, and volunteer days available from the start. The breadth supports work–life balance with a Monday–Friday schedule.
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Healthcare Strength — Health coverage spans medical, dental, vision, life, and disability with HSA/FSA options and day-one eligibility. The package also includes wellness initiatives and adoption assistance.
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Retirement Support — A 401(k) with company match and immediate vesting is offered. This supports long-term savings starting on the first day.
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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.
