Compliance Analyst, Finance & Banking

Compliance Analyst

Location(s):

• 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

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: $55,000 - $63,000 per year + annual bonus. Actual compensation will be determined individually based on location, skills, licensure, experience, and education.

Osaic’s total compensation package includes health, vision, dental insurance, 401k, paid time away, volunteer days, and more. For details, visit the careers page.

The Compliance Analyst plays a critical role in safeguarding the integrity of Osaic’s financial services operations by monitoring advisor activity and identifying potential compliance risks. The analyst reviews financial professionals’ books of business, analyzes trade data, and detects patterns that may indicate regulatory or policy concerns. The analyst collaborates with Internal Supervision, Compliance, and Senior Management to deliver actionable insights and ensure adherence to industry standards and firm policies.

The role requires strong analytical skills, attention to detail, and the ability to interpret complex regulatory requirements. The analyst contributes to the development of surveillance procedures, leads special projects, and serves as a subject matter expert for system testing and quality assurance initiatives.

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

• Review financial professionals’ book of business for common risks and regulatory issues.
• Create representative summaries detailing negative trends such as high rates of variable annuity replacements, mutual fund B-share and C-share concerns, high rates of mutual fund switching, alternative investment liquidity issues, etc.
• Deliver trend summaries to Internal Supervision, Compliance, and Senior Management teams for review and follow‑up.
• Assist Surveillance manager in creating and editing surveillance procedures.
• Lead additional projects and regulatory requests as necessary.
• Conduct quality assurance of analyst deliverables for financial professional profiles and activity‑based reviews.
• SME for all surveillance report IT/QA/UAT testing.
• Train new/current Compliance Analysts.

• Three to five years of experience in the financial securities industry.
• Proficient with MS Office and Word; proficiency with MS Excel is a must.
• Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds. Additional knowledge in variable annuities and mutual funds strongly preferred.
• Ability to analyze large amounts of trade data and think through complex compliance issues.
• Detail‑oriented, investigative, able to handle a high volume of work independently.
• Ability to interpret compliance policies, procedures, FINRA manual, FINRA notices to members, compliance notices, and other publications concerning broker/dealer regulation.
• Effective written and verbal communication skills.

• FINRA Series 7 and 24 preferred.
• Insurance license preferred.
• 2+ years of regulatory experience preferred.
• Experience at an independent broker‑dealer preferred.

Osaic is an equal opportunity employer. We celebrate diversity in our workplace and hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.

Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.