Compliance Analyst - IA Administration

Osaic; Scottsdale (AZ); Hybrid; USD 65,000 - 69,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time off

Volunteer days

Job summary

Osaic is seeking a Compliance Analyst for IA Administration & Support in Scottsdale. The role collaborates with financial advisors, support staff, and internal partners to manage compliance inquiries and policy administration.

The ideal candidate is organized, detail-oriented, and works well in a team. Responsibilities include handling inquiries, guiding on policies, assisting with Form ADV materials, and supporting IAR onboarding.

Qualifications

• Minimum 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.
• Must be proficient with MS Office (Word, Excel, PowerPoint, and Outlook).
• Strong abilities in analytical thinking, problem solving, research, and time management.

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, 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/update desktop procedures when necessary.
• All other duties as assigned.

Skills

Communication skills

Verbal communication

Analytical thinking

Time management

Problem solving

Customer service

Education

Bachelor's degree preferred

HS Diploma or GED

Tools

MS Office

Job description

Compliance Opportunity in Financial Services

Compliance Analyst - IA Administration & Support

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 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:

$65k - $69k 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.

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:Osaic Benefits.

Summary:

The Investment Advisory Compliance Analyst 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. This role is responsible for responding to compliance-related inquiries, assisting with administration of the compliance policy and procedures. The ideal candidate is highly organized, detail-focused, and able to work effectively in a collaborative team environment.

Education Requirements:

Bachelor's Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience will be considered

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, 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/update desktop procedures when necessary.
• All other duties as assigned.

Basic 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.
• Must be proficient with MS Office (Word, Excel, PowerPoint, and Outlook).
• Strong abilities in analytical thinking, problem solving, research, and time management.

Preferred Requirements:

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