Compliance Analyst - IA Administration & Support

The Investment Advisory Compliance Analyst supports the Investment Advisory Compliance Administration Team by serving as the primary point of contact for financial advisors, advisor support staff, and internal business partners. This role is responsible for responding to compliance-related inquiries, assisting with administration of the compliance policy and procedures. The ideal candidate is highly organized, detail-focused, and able to work effectively in a collaborative team environment., * Respond to incoming emails and phone calls from financial advisors, advisor office personnel, and internal departments regarding investment advisory compliance matters.

• Provide guidance and support on routine compliance questions, policies, and procedures, and administrative processes.
• Assist with the review, maintenance of Form ADV Part 2B Brochure Supplements.
• Support the onboarding and maintenance of Investment Advisor Representatives (IARs).
• Coordinate with Compliance Operations, Supervision, Legal and other internal departments to resolve advisor inquiries and support business initiatives.
• Monitor assigned workflows and ensure tasks are completed accurately and within established service standards.
• Review/update desktop procedures when necessary.
• All other duties as assigned.

Bachelor’s Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience will be considered, * Minimum of two years of relevant work experience with a broker/dealer, registered investment adviser, regulatory agency, or similar financial institution.

• Excellent verbal and written communication skills.
• Must be proficient with MS Office (Word, Excel, PowerPoint, and Outlook).
• Strong abilities in analytical thinking, problem solving, research, and time management.

Preferred Requirements:

• Prior Customer Service experience
• FINRA Series 7, 24 66 or 63/65) a plus.
• Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933., Administrative Skills, Analysis Skills, Brokerage, Business Support, Communication Skills, Customer Support/Service, Desktop PC, Hubs, Investment Analysis, Investment Services, Legal, Maintain Compliance, Microsoft Excel, Microsoft Office, Microsoft Outlook, Microsoft PowerPoint, Microsoft Word, Onboarding, Operations Management, Organizational Skills, People Management, Presentation/Verbal Skills, Problem Solving Skills, Recruiting/Staffing Agency, Registered Investment Advisor (RIA), Regulations, Securities, Series 7, Team Player, Time Management, Writing Skills

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: $65k - $69k per year + annual performance-based 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: Osaic Benefits.