Senior Analyst for Regulatory Services Opportunity in Financial Services
Senior Analyst, Hybrid IA 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: $90,000 - $100,000 per year + annual bonus
Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, 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:
Senior Analyst, Hybrid IA Compliance will be responsible for providing oversight functions to Financial Professionals that provide investment advisory services to clients through an Independent RIA or that provide investment advisory services in a dual RIA affiliation capacity. Additionally, this role will be involved in a variety of other compliance responsibilities, including development and implementation of regular reporting, surveillance reviews and corrective action related to monitoring of the investment advisory business, under the direction of the Director of IA Compliance Policies, Procedures & Testing. This position involves daily interpreting and applying compliance policies and procedures to business practices, communicating with Financial Professionals and other functions of the Investment Advisory Compliance team.
An ideal candidate must:
- Have a thorough understanding of the securities industry
- Possess well-developed analytical skills, highly organized with the ability to handle multiple tasks and multiple priorities simultaneously
- Work well in a fast-paced and complex collaborative environment
- Excellent interpersonal, troubleshooting and communication skills
- Proficiency in MS Excel
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:
- Supporting the IA Compliance with reviews of the investment advisory services provided to clients through an Independent RIA.
- Supporting the IA Compliance with reviews of the investment advisory services provided to clients through dually RIA affiliated Financial Professionals.
- Partnering with Compliance, Supervision, Legal, Operations and other internal business partners to address inquiries and assist with issue resolution.
- Working with Financial Professionals and Supervision to gather information as part of internal tasks and procedures.
- Producing various other data capturing tasks and procedures for IA Compliance.
- Identification and escalation of issues to senior management as necessary.
- Ensure compliance with Firm and industry regulations.
- Identify and share best practices or process improvements.
Basic Requirements:
- 3-5 years of relevant work experience such as RIA or regulatory agency
- Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 Securities Act of 1933, Securities Act of 1934 and FINRA rules and Regulations
- Excellent verbal and written communication skills
- Must be proficient with MS Office and Word and Excel.
- 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
Preferred Requirements:
- FINRA Series 7, 24, 66, or 65.
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.
