Senior Compliance Analyst - Investment Advisory

About the role

The Senior Investment Advisory Compliance Analyst supports the Investment Advisory Compliance Administration Team and serves as a primary point of contact for financial advisors, advisor support staff, and internal business partners. The role responds to compliance-related inquiries and interprets and applies firm policies and procedures to business practices. Responsibilities also include supporting surveillance activities and assisting the team manager with projects and operational initiatives. The ideal candidate is highly organized, detail-oriented, and able to exercise sound judgment while working effectively in a collaborative environment.

Responsibilities

• Provide guidance and support regarding investment advisory compliance requirements, policies, procedures, and administrative processes.
• Respond to emails and telephone inquiries from financial advisors, advisor support staff, and internal departments regarding investment advisory compliance matters.
• Support the onboarding and ongoing maintenance of Investment Adviser Representatives (IARs), including Form ADV Part 2B brochure supplements.
• Partner 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.
• Identify and recommend updates to desktop procedures to address compliance gaps and improve adherence to regulatory and firm requirements.
• Participate in ad hoc requests and special projects.
• All other duties as assigned.

Requirements

Basic Requirements

• At least three years of relevant experience with a registered investment adviser, broker-dealer, regulatory agency, or comparable financial services organization.
• Working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, and Securities Act of 1933.
• Excellent written and verbal communication skills.
• Proficiency with Microsoft Office applications, including Word, Excel, PowerPoint, and Outlook.
• Strong analytical, problem-solving, research, organizational, and time-management skills.
• Ability to analyze complex compliance issues and develop practical, well-reasoned recommendations.
• Ability to work independently, exercise sound judgment, take initiative, and manage multiple priorities.

Preferred Requirements

• FINRA Series 7 and Series 24 registrations, plus either the Series 65 or Series 66.
• Five or more years of relevant experience with a registered investment adviser, broker-dealer, regulatory agency, or comparable financial institution.

Education

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

Pay

$85,000 – $95,000 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.

Benefits

Health, vision, and dental insurance; 401(k); paid time away; volunteer days; and more. For full details visit Osaic Benefits.

Schedule

Hybrid schedule requiring a minimum of 4 days per week in the office. Applicants must be located at one of the following hubs and willing to work this schedule:

• Atlanta, GA – 2300 Windy Ridge Pkwy SE, Suite 750, Atlanta, GA 30339
• La Vista, NE – 12325 Port Grace Blvd, La Vista, NE 68128
• Oakdale, MN – 7755 3rd St. N, Oakdale, MN 55128
• Scottsdale, AZ – 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
• St. Petersburg, FL – 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702

Role type: Full-time.