Sr Analyst, Hybrid IA Compliance

Senior Analyst, Hybrid IA Compliance

Locations:

• 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

Role Type: Full-time

Salary: $90,000 - $100,000 per year + annual bonus. Actual compensation offered will be determined individually based on location, skills, licensure, experience, and education.

Benefits include health, vision, dental insurance, 401(k), paid time away, volunteer days, and more. For details visit Osaic Careers Benefits.

Osaic requires a hybrid work schedule with a minimum of 4 days in office per week. Remote candidates are not considered. Applicants must be located at one of the hubs listed above.

Senior Analyst, Hybrid IA Compliance will provide oversight to Financial Professionals offering investment advisory services through an Independent RIA or dual RIA affiliation. The role involves compliance responsibilities such as developing regular reporting, conducting surveillance reviews, and initiating corrective action under the direction of the Director of IA Compliance Policies, Procedures & Testing. The analyst interprets and applies compliance policies, communicates with Financial Professionals and other functions of the Investment Advisory Compliance team.

• Support IA Compliance with reviews of investment advisory services provided to clients through an Independent RIA.
• Support IA Compliance with reviews of investment advisory services provided to clients through dually RIA affiliated Financial Professionals.
• Partner with Compliance, Supervision, Legal, Operations and other internal business partners to address inquiries and assist with issue resolution.
• Work with Financial Professionals and Supervision to gather information for internal tasks and procedures.
• Produce various data capturing tasks and procedures for IA Compliance.
• Identify and escalates issues to senior management as necessary.
• Ensure compliance with firm and industry regulations.
• Identify and share best practices or process improvements.

• Have a thorough understanding of the securities industry.
• Possess well-developed analytical skills, be highly organized, and able to handle multiple tasks and priorities simultaneously.
• Work well in a fast‑paced and complex collaborative environment.
• Have excellent interpersonal, troubleshooting and communication skills.
• Be proficient in MS Excel.

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

• 3–5 years of relevant work experience such as RIA or regulatory agency.
• Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities Act of 1934, and FINRA rules and regulations.
• Excellent verbal and written communication skills.
• Proficiency with MS Office, Word and Excel.
• Strong analytical thinking, problem‑solving, research, and time‑management skills. Ability to think through complex compliance issues.
• Ability to work independently, using a high level of judgment and initiative to resolve problems and develop recommendations.

• FINRA Series 7, 24, 66, or 65.

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 U.S. 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 U.S. 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.