Compliance Analyst - IA Administration

About the Role

This position 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. The role involves responding to compliance-related inquiries and assisting with the administration of compliance policies and procedures. The ideal candidate is highly organized, detail-focused, and able to work effectively in a collaborative team environment.

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 the following hubs and must be willing to work this schedule:

• 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

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, and 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. High School Diploma or GED certificate with significant practical experience will be considered.

• Prior customer service experience.
• FINRA Series 7, 24, 66, or 63/65 is a plus.
• Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940, and Securities Act of 1933.

Pay

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

Benefits

Additional benefits include:

• Health, vision, and dental insurance
• 401k retirement plan
• Paid time away
• Volunteer days
• And much more. For more details, visit the Osaic Benefits page.

Schedule

Full-time, hybrid schedule requiring a minimum of 4 days per week in the office.