Senior Compliance Analyst - IA Oversight

Compliance Opportunity in Financial Services

Senior Compliance Analyst - IA Oversight

Location(s):

Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, 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

Osaic is not considering remote candidates at this time.

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: $77,000 - $87,000 per year + annual 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:https://careers.osaic.com/Creative/Benefits.

Summary:

The Senior Compliance Analyst - IA Oversight will be involved in a variety of compliance functions including monitoring & testing, risk assessment, training, remediation and reporting of compliance issues within the RIA firms under direction of the SVP, IA Compliance. This Sr. Compliance Analyst - IA Oversight is involved on a day to day basis in interpreting and applying compliance policies and procedures to business practices.

Education Requirements:

• 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.

Responsibilities:

• Support the existing Investment Advisory surveillance program
• Conduct risk assessments and testing of IA compliance programs
• Perform Monitoring & Surveillance over business processes and controls
• Analyze current IA Compliance functions and suggest enhancements and standardization, where appropriate
• Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements
• Review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures
• Support advisors by providing guidance on RIA policy and procedures questions
• Execute desktop procedures for RIA surveillance and other IAR related activities
• All other duties as assigned

Basic Requirements:

• Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933.
• Prior experience with Rule 206(4)7 testing.
• Must be proficient with MS Office and Word. Proficiency with MS Excel is a must.
• Strong abilities in analytical thinking, problem solving, research, and time management.
• Ability to think through complex Compliance issues.
• Ability to work on assignments independently, using a high level of judgment and initiative in resolving problems and developing recommendations.
• Strong written and verbal communication, including the ability to communicate with different levels of management.
• Strong surveillance experience.

Preferred Requirements:

• FINRA Series 7 and Series 24 are preferred
• Additional FINRA licensing (Series 66 or Series 63/65) a plus.
• Three to Five years of relevant work experience with a financial institution such as a broker/dealer, registered investment adviser, regulatory agency, or other financial institution.