Senior Investment Advisory Compliance Specialist (Hybrid)

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

Benefits offered by this job

Health insurance

Dental insurance

Vision insurance

401k

Paid time away

Job summary

Osaic is hiring a Senior Investment Advisory Compliance Analyst to support the Compliance Administration Team. The role serves as a primary contact for financial advisors and internal partners, interpreting firm policies and applying procedures to daily operations.

The ideal candidate has strong organizational skills and can manage multiple priorities while exercising sound judgment in a collaborative environment.

Qualifications

• Bachelor’s degree preferred; high school diploma or equivalent as fallback.
• Experience with registered investment advisers or broker-dealers preferred.
• Knowledge of Investment Advisers Act, Investment Company Act, and Securities Act.
• FINRA registrations (Series 7/24, and 65/66) preferred.

Responsibilities

• Provide guidance on investment advisory compliance requirements, policies, and processes.
• Respond to inquiries from financial advisors, support staff, and internal departments.
• Support onboarding and maintenance of IARs, including Form ADV Part 2B supplements.
• Collaborate with Compliance, Operations, Supervision, Legal, and other departments to resolve inquiries.
• Monitor workflows and ensure tasks meet service standards.
• Identify updates to procedures to close compliance gaps and improve adherence.
• Participate in ad hoc requests and special projects.
• All other duties as assigned.

Skills

Communication skills

Analytical skills

Problem solving

Time management

MS Office

Independent work

Education

Bachelor's degree preferred

High school diploma required

Job description

Osaic is hiring a Senior Investment Advisory Compliance Analyst to support the Compliance Administration Team. The role serves as a primary contact for financial advisors and internal partners, interpreting firm policies and applying procedures to daily operations.

The ideal candidate has strong organizational skills and can manage multiple priorities while exercising sound judgment in a collaborative environment.