Senior Compliance Analyst - Investment Advisory

Advisor Group; La Vista (NE); Hybrid; USD 85,000 - 95,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time away

Volunteer days

Job summary

Osaic is seeking a Senior Investment Advisory Compliance Analyst to join the Investment Advisory Compliance Administration Team. You will serve as the primary contact for financial advisors, support staff, and internal partners, interpreting policies and applying firm procedures.

Responsibilities include supporting onboarding of Investment Adviser Representatives, assisting with surveillance initiatives, and coordinating with Compliance, Operations, Legal, and other departments to resolve

Qualifications

• Bachelor’s degree preferred; high school diploma acceptable with significant experience.
• Experience with registered investment advisers or broker‑dealers is preferred.
• Strong written and verbal communication skills and attention to detail.

Responsibilities

• Provide guidance on investment advisory compliance requirements, policies, and procedures.
• Respond to inquiries from financial advisors, staff, and internal departments.
• Assist onboarding and ongoing maintenance of Investment Adviser Representatives (IARs).
• Coordinate with Compliance, Operations, Supervision, Legal, and other departments to resolve inquiries and support initiatives.
• Monitor workflows and ensure tasks meet service standards.
• Suggest updates to procedures to address compliance gaps.

Skills

Compliance

Investment Advisory

Regulatory Knowledge

Analytical Skills

Communication

MS Office

Education

Bachelor's degree preferred

High school diploma required

Tools

Microsoft Office

Excel

PowerPoint

Job description

Investment Advisory Opportunity in Financial Services

Senior Compliance Analyst, Investment Advisory

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: $85k - $95k 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 Senior Investment Advisory Compliance Analyst supports the Investment Advisory Compliance Administration Team and serves as a primary point of contact for financial advisors, advisor support staff, and internal business partners. The role responds to compliance-related inquiries and interprets and applies firm policies and procedures to business practices. Responsibilities also include supporting surveillance activities and assisting the team manager with projects and operational initiatives. The ideal candidate is highly organized, detail-oriented, and able to exercise sound judgment while working effectively in a collaborative environment.

Education Requirements:

• Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Responsibilities:

• Provide guidance and support regarding investment advisory compliance requirements, policies, procedures, and administrative processes.
• Respond to emails and telephone inquiries from financial advisors, advisor support staff, and internal departments regarding investment advisory compliance matters.
• Support the onboarding and ongoing maintenance of Investment Adviser Representatives (IARs), including Form ADV Part 2B brochure supplements.
• Partner 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.
• Identify and recommend updates to desktop procedures to address compliance gaps and improve adherence to regulatory and firm requirements.
• Participate in ad hoc requests and special projects.
• All other duties as assigned.

Basic Requirements:

• At least three years of relevant experience with a registered investment adviser, broker-dealer, regulatory agency, or comparable financial services organization.
• Working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, and Securities Act of 1933.
• Excellent written and verbal communication skills.
• Proficiency with Microsoft Office applications, including Word, Excel, PowerPoint, and Outlook.
• Strong analytical, problem-solving, research, organizational, and time-management skills.
• Ability to analyze complex compliance issues and develop practical, well-reasoned recommendations.
• Ability to work independently, exercise sound judgment, take initiative, and manage multiple priorities.

Preferred Requirements:

• FINRA Series 7 and Series 24 registrations, plus either the Series 65 or Series 66.
• Five or more years of relevant experience with a registered investment adviser, broker-dealer, regulatory agency, or comparable financial institution.

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.