Hybrid Senior Investment Advisory Compliance Analyst

Osaic; Oakdale (MN); Hybrid; USD 85,000 - 95,000; Full time

Job summary

Osaic is seeking a Senior Compliance Analyst in Investment Advisory to support the Compliance Administration Team and serve as a primary contact for financial advisors and internal partners. The role focuses on interpreting firm policies, responding to inquiries, and supporting surveillance activities while ensuring adherence to regulatory requirements.

The ideal candidate will have strong organizational skills, attention to detail, and the ability to work collaboratively.

Qualifications

• Bachelor's degree preferred; high school diploma or equivalent with significant experience considered in lieu of degree.
• Minimum of three years in a registered investment adviser, broker-dealer, regulatory agency, or similar financial services org.

Responsibilities

• Provide guidance on investment advisory compliance requirements, policies, and procedures.
• Respond to inquiries from financial advisors and internal departments regarding compliance matters.
• Support onboarding and maintenance of Investment Adviser Representatives (IARs).
• Collaborate with Compliance, Operations, Supervision, Legal, and other departments to resolve advisor inquiries and support initiatives.
• Monitor workflows to ensure tasks meet service standards.
• Identify updates to procedures to address compliance gaps and regulatory requirements.
• Participate in ad hoc requests and special projects.
• All other duties as assigned.

Skills

Communication skills

Microsoft Office

Analytical thinking

Independent work

Regulatory knowledge

Education

Bachelor's degree preferred

High school diploma required

Tools

Microsoft Word

Microsoft Excel

PowerPoint

Outlook

Job description

Osaic is seeking a Senior Compliance Analyst in Investment Advisory to support the Compliance Administration Team and serve as a primary contact for financial advisors and internal partners. The role focuses on interpreting firm policies, responding to inquiries, and supporting surveillance activities while ensuring adherence to regulatory requirements.

The ideal candidate will have strong organizational skills, attention to detail, and the ability to work collaboratively.