Regulatory Data Opportunity in Financial Services
Senior Regulatory Data 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: $85,000 - $100,000 per year + annual performance 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:
Osaic is seeking a Senior Regulatory Analyst to join the Regulatory Relations team. This role is responsible for producing high‑quality data and reports that support both Regulatory Relations and Legal. Key duties include collecting, integrating, analyzing, and reporting on complex data from multiple sources. Deliverables must be accurate and timely, as deadlines are frequently driven by regulatory agencies. The position requires a data‑focused professional with experience preparing complex reports and a strong understanding of the financial services industry and its regulatory requirements.
Education Requirements:
- Bachelor’s Degree from accredited university in Finance, Business Administration, Computer Science or similar degree is required
Responsibilities:
- Respond to all regulatory examination requests by performing detailed data analysis and generating comprehensive reports using the firm’s production systems
- Develop ad‑hoc statistical analyses and reports to support Legal and Regulatory initiatives
- Analyze and report data trends
- Assist with special projects, including producing compliance reports derived from noted deficiencies and recommendations from legal and regulatory reviews
- Design, produce, and maintain standard reporting packages commonly requested during regulatory reviews.
Basic Requirements:
- FINRA Series 7
- Ability to evaluate activities, reports, and manuals to determine compliance with regulatory guidelines
- Collaborate with the Legal and Regulatory Relations teams to gather required data and prepare responses to legal and regulatory inquiries
- Experience in MS SQL Server is required
- Proficiency in MS Office and various other business applications
- Experience in working on Snowflake cloud-based data platform
- Experience using reporting and analytics tools such as Power BI and Microsoft Excel to develop dashboards, automate reports, and support data‑driven decision‑making.
- 5+ years of reporting or data analytics
- Experience in Financial Services
Preferred Requirements:
- Strong written and verbal communication skills
- Ability to operate effectively as part of a project team or individually
- Series 24 (or S8 or S9/10)
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.
