Compliance Analyst - IA Administration

Location(s): Atlanta, GA / La Vista, NE / Oakdale, MN / Scottsdale, AZ / St. Petersburg, FL. Hybrid schedule requiring a minimum of 4 days weekly in the office; applicants must be located at one of the listed hubs.

About the role

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 and assisting with administration of compliance policies and procedures. The ideal candidate is highly organized, detail-focused, and able to work effectively in a collaborative team environment.

Responsibilities

• 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, procedures, and administrative processes.
• Assist with the review and 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 and update desktop procedures when necessary.
• Perform all other duties as assigned.

Requirements

• 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.
• Proficient with MS Office (Word, Excel, PowerPoint, and Outlook).
• Strong abilities in analytical thinking, problem solving, research, and time management.

Qualifications

• Bachelor’s Degree preferred; H.S. Diploma or GED certificate plus significant practical experience will be considered.
• 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.

Pay

$65,000 – $69,000 per year plus annual performance-based bonus. Actual compensation offered will be determined individually based on job-related factors including location, skills, licensure, experience, and education.

Benefits

• Health, vision, and dental insurance
• 401(k) retirement plan
• Paid time off
• Volunteer days
• Additional benefits available (see Osaic Benefits for details)