Sr Analyst, Hybrid IA Compliance

Senior Analyst, Hybrid IA Compliance

Location(s):

• Atlanta: 2300 Windy Ridge Pkwy SE, Suite
  750, 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. All applicants must be located at one of the above hubs and be willing to work a hybrid schedule of a minimum of 4 days per week in the office.

Full-time

$90,000 - $100,000 per year + annual bonus. Actual compensation is determined individually based on location, skills, licensure, experience and education. Additional benefits include health, vision, dental insurance, 401(k), paid time away, volunteer days and more.

Senior Analyst, Hybrid IA Compliance will provide oversight functions to Financial Professionals who provide investment advisory services through an Independent RIA or a dual RIA affiliation. The role involves developing and implementing regular reporting, conducting surveillance reviews, and initiating corrective action for monitoring the investment advisory business under the direction of the Director of IA Compliance Policies, Procedures & Testing. Daily responsibilities include interpreting and applying compliance policies to business practices and communicating with Financial Professionals and other functions of the Investment Advisory Compliance team.

• Have a thorough understanding of the securities industry
• Possess well‑developed analytical skills, highly organized, and able to handle multiple tasks and priorities simultaneously
• Work well in a fast‑paced and complex collaborative environment
• Have excellent interpersonal, troubleshooting and communication skills
• Be proficient in MS Excel

• Bachelor’s degree preferred; high school diploma or equivalent in combination with significant practical experience will be considered in lieu of a degree.

• Review investment advisory services provided to clients through an Independent RIA.
• Review services provided through dually RIA‑affiliated Financial Professionals.
• Partner with Compliance, Supervision, Legal, Operations and other internal business partners to address inquiries and assist with issue resolution.
• Gather information from Financial Professionals and Supervision as part of internal tasks and procedures.
• Produce various data‑capturing tasks and procedures for IA Compliance.
• Identify and escalated issues to senior management as necessary.
• Ensure compliance with Firm and industry regulations.
• Identify and share best practices or process improvements.

• 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.
• Proficiency with MS Office, Word and Excel.
• Strong analytical thinking, problem‑solving, research and time‑management skills.
• Ability to work independently, use a high level of judgment and initiative in resolving problems and developing recommendations.

• FINRA Series 7, 24, 66, or 65.

Osaic is an equal‑opportunity employer. We celebrate diversity in our workplace and hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, or developmental abilities, genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.

Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in this posting.

Osaic only accepts candidates from contracted recruiting firms for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.

Mid‑Senior level

Full‑time