Compliance Analyst, Customer Complaints

Compliance Opportunity in Financial Services

Compliance Analyst, Customer Complaints

• 2300 Windy Ridge Parkway, Atlanta, GA 30339
• 7755 Third Street North, Oakdale, MN 55128
• 877 Executive Center Drive West, St. Petersburg, FL 33702
• 12325 Port Grace Boulevard, La Vista, NE 68128
• 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

Schedule: Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Non-remote employees must be willing to work this schedule. Given the regional and travel requirements for this position, Osaic is open to remote applicants for this position.

Role Type: Full time

Salary: $75,000 - $90,000 per year + sales incentive compensation, paid quarterly.

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and education.

Our competitive salaries are just one component of Osaic’s total compensation package. Additional benefits include: health, vision, dental insurance, 401k, vacation and sick time, volunteer days and much more. To view more details of what you can look forward to, visit our careers page:

Osaic is seeking an organized, detailed and energetic Compliance Analyst to join our Customer Complaint team. This individual will play a critical role in ensuring regulatory compliance, safeguarding firm standards, and delivering fair resolutions for clients. The ideal candidate will be a strong collaborator who can thrive in a fast-paced environment, demonstrates intellectual curiosity, and has a desire to learn and explore new things.

• Document and resolve customer complaints in a timely manner, ensuring compliance with Firm and industry regulations.
• Collaborate with Compliance, Supervision, Legal and Operations teams to ensure proper handling of customer complaints.
• Work with advisors and supervisors to gather information and maintain accurate records of complaints, investigations, and resolutions.
• Work with customers to gather additional information to ensure matters are handled in an objective and fair manner.
• Escalate significant issues to senior management and coordinate referrals to appropriate departments.
• Complete all required filings in accordance with regulatory rules (i.e. 4530(d) and U4/U5 amendment filings) and within the appropriate time frames.
• Perform other duties as assigned

• Bachelor’s degree preferred. High school diploma in combination with significant practical experience may be considered in lieu of degree.

• At least two years of experience in a similar capacity
• Excellent communication skills, both written and verbal, for effective interaction with customers and stakeholders at all levels.
• Ability to interpret and apply FINRA Rules and Notices to Members, Compliance notices, and other publications impacting broker/dealer operations.
• Working knowledge of FINRA Rule 4530 and Form U4/U5.
• Familiarity with the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds.
• Skilled in building collaborative relationships with business partners to obtain information and achieve objectives.
• Must be organized, detail-oriented, investigative and have the ability to handle a high volume of work independently.

• At least two years of industry experience with a broker/dealer, in a compliance or Legal/ Regulatory role.
• FINRA Series 7 and Series 24.
• Insurance license (life/health).
• Prior Customer Complaint handling experience strongly preferred.