Sr Analyst, Hybrid IA Compliance

Sr Analyst, Hybrid IA Compliance – Osaic

Osaic is hiring a Sr Analyst, Hybrid IA Compliance to join our Regulatory Services team in Financial Services.

• 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. The office‑based hybrid schedule requires a minimum of 4 days per week in the office. Applicants must be located at one of the hubs listed above and be willing to work this schedule.

• Type:
  Full‑time
• Salary: $90,000 – $100,000 per year + annual bonus (actual compensation will be determined individually based on location, skills, etc.)
• Benefits: 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 offering investment advisory services through an Independent RIA or in a dual RIA affiliation. The role includes developing and implementing regular reporting, surveillance reviews, and corrective action related to monitoring the investment advisory business. Under the direction of the Director of IA Compliance Policies, Procedures & Testing, the analyst will interpret and apply compliance policies daily, communicate with financial professionals and other teams within the Investment Advisory Compliance organization.

• Have a thorough understanding of the securities industry.
• Possess well‑developed analytical skills and be highly organized, capable of handling multiple tasks and priorities.
• Work well in a fast‑paced and complex collaborative environment.
• Excellent interpersonal, troubleshooting, and communication skills.
• Proficiency in MS Excel.

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

• Support IA Compliance with reviews of investment advisory services offered to clients via an Independent RIA.
• Support IA Compliance with reviews of investment advisory services offered to clients 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.
• Work with financial professionals and supervision to gather information as part of internal tasks and procedures.
• Produce various data‑capturing tasks and procedures for IA Compliance.
• Identify and escalates 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 in an 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 abilities; able to think through complex compliance issues.
• Ability to work independently, using a high level of judgment and initiative to resolve problems and develop 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 to age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and 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 currently and 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 the job posting.

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