Investment Advisory Compliance Analyst - Admin & Support

Osaic; Atlanta (GA); Hybrid; USD 65,000 - 69,000; Full time

Job summary

Osaic is seeking a Compliance Analyst – IA Administration & Support to join our Investment Advisory Compliance Administration Team. The role serves as the primary contact for financial advisors, advisor support staff, and internal partners, handling inquiries and assisting with policy administration in a collaborative environment.

Ideal candidates are highly organized, detail-oriented, with strong communication skills, and a background in financial services compliance.

Qualifications

• Minimum of two years of relevant work experience with 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, Outlook).
• Strong abilities in analytical thinking, problem solving, research, and time management.

Responsibilities

• Respond to emails and phone calls from financial advisors and internal staff regarding investment advisory compliance matters.
• Provide guidance on routine compliance questions, policies, and procedures.
• Assist with review/maintenance of Form ADV Part 2B Brochure Supplements.
• Support onboarding and maintenance of Investment Advisor Representatives (IARs).
• Coordinate with Compliance Operations, Supervision, Legal and internal departments to resolve inquiries and support initiatives.
• Monitor workflows and ensure tasks meet service standards.
• Review/update desktop procedures as needed.
• All other duties as assigned.

Skills

Verbal communication

Written communication

Analytical thinking

Time management

Education

Bachelor's degree preferred

HS Diploma or GED + experience

Tools

MS Office

Job description

Osaic is seeking a Compliance Analyst – IA Administration & Support to join our Investment Advisory Compliance Administration Team. The role serves as the primary contact for financial advisors, advisor support staff, and internal partners, handling inquiries and assisting with policy administration in a collaborative environment.

Ideal candidates are highly organized, detail-oriented, with strong communication skills, and a background in financial services compliance.