Senior Investment Advisory Compliance Lead

Osaic; Scottsdale (AZ); Hybrid; USD 85,000 - 95,000; Full time

Job summary

Osaic in Scottsdale is seeking a Senior Compliance Analyst for the Investment Advisory team to support the Compliance Administration function. You will serve as a primary contact for financial advisors and internal partners, interpreting firm policies and applying procedures to daily operations.

The role emphasizes organization, attention to detail, and sound judgment in a collaborative environment, with responsibility for surveillance support and project participation.

Qualifications

• Excellent written and verbal communication skills.

Responsibilities

• Provide guidance on investment advisory compliance requirements, policies, procedures, and administrative processes.
• Respond to inquiries from financial advisors, advisor support staff, and internal departments regarding compliance matters.
• Support onboarding and maintenance of Investment Adviser Representatives (IARs), including Form ADV Part 2B brochures.
• Collaborate with Compliance, Operations, Supervision, Legal, and other departments to resolve advisor inquiries and support business initiatives.
• Monitor workflows and ensure tasks are completed within service standards.
• Identify updates to procedures to address compliance gaps and improve adherence to requirements.
• Assist with ad hoc requests and special projects.
• All other duties as assigned.

Skills

Written and verbal communication

Analytical

Problem solving

Time management

Attention to detail

Independent work

Education

Bachelor’s degree preferred

High school diploma required

Tools

Microsoft Office Suite

Job description

Osaic in Scottsdale is seeking a Senior Compliance Analyst for the Investment Advisory team to support the Compliance Administration function. You will serve as a primary contact for financial advisors and internal partners, interpreting firm policies and applying procedures to daily operations.

The role emphasizes organization, attention to detail, and sound judgment in a collaborative environment, with responsibility for surveillance support and project participation.