Compliance Analyst - IA Oversight

Advisor Group; Scottsdale (AZ); On-site; USD 65,000 - 69,000; Full time

Job summary

Osaic is seeking an Investment Advisory Compliance Analyst in Scottsdale to help monitor and test IA compliance, assess risks, and report issues within RIA firms under the RIA Compliance SVP. The role involves interpreting and applying compliance policies to business practices.

Responsibilities include supporting surveillance programs, conducting risk assessments, and advising on policy questions, with a hybrid work arrangement requiring in-office presence four days weekly at one of our hubs.

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.
• Proficient with MS Office (Word, Excel, PowerPoint, and Outlook).
• Strong analytical thinking, problem solving, research, and time management.
• 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.
• Experience in monitoring, testing, and conducting risk assessments of investment advisory compliance activities.

Responsibilities

• Support the existing Investment Advisory Compliance surveillance program.
• Conduct risk assessments and testing of IA compliance programs and Financial Planning.
• 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.

Skills

MS Office

Analytical thinking

Problem solving

Communication

Time management

Education

Bachelor’s degree preferred or HS diploma with experience

Job description

Compliance Opportunity in Financial Services

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 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 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 RIA Compliance SVP. This Investment Advisory Compliance Analyst 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, H.S. Diploma or GED certificate + Significant Practical Experience will be considered

Responsibilities:

• Support the existing Investment Advisory Compliance surveillance program
• Conduct risk assessments and testing of IA compliance programs and Financial Planning
• 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:

• 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:

• 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.
• Experience in monitoring, testing, and conducting risk assessments of investment advisory compliance activities.

Equal Opportunity Employer

Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we 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.

Eligibility

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.

Unqualified Applications

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

Recruiting Agencies

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