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The Compliance Analyst monitors financial advisor activity to identify compliance risks, conducts detailed reviews, analyzes trade data, and collaborates with Internal Supervision and Compliance teams to ensure adherence to regulations.

The IA Compliance Policies, Procedures and Testing Manager oversees the RIA Compliance Program, ensuring compliance with laws and regulations, and managing policy development and risk assessments. Responsibilities include regulatory inquiries, compliance support for subsidiaries, and implementing risk-based compliance testing.

The Manager of Growth Initiatives leads business insights and strategies to enhance growth opportunities for Osaic's financial services platforms, while collaborating cross-functionally to implement new solutions and optimize processes.

The Desktop Engineer I will support software and hardware for workstations, assist with installations, troubleshoot issues, and manage inventory.

This role involves processing financial transactions, managing account requests, and providing customer service within brokerage operations. It requires communication with clients and vendors, and flexibility to handle workflow changes.

The role involves supporting user inquiries, managing platform oversight, ensuring compliance, and enhancing user experience in financial planning services.

The Production Support Analyst provides advisory support for the Wealth Management Platform, resolving issues, coordinating with departments, and enhancing training resources.

The Ops Processing Specialist handles transaction processing in Brokerage Operations, providing customer service and supporting financial professionals with account requests.

The Financial Advisor supports Wealth Advisors in delivering financial planning and investment guidance, managing client accounts, and preparing financial documentation.

The Relationship Manager ensures service expectations are met, manages client accounts, addresses inquiries, and fosters strong client relationships throughout the client lifecycle.