Sr. Compliance Analyst, Customer Complaints

Compliance Opportunity in Financial Services

Senior Compliance Analyst, Customer Complaints

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 is not considering remote candidates at this time.

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:             $80,000 - $90,000 per year + annual 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: https://careers.osaic.com/Creative/Benefits.

Summary:

Osaic is seeking an organized, detail-oriented and energetic Senior Compliance Analyst to join our Customer Complaint team. This individual will play a critical role in ensuring regulatory compliance, safeguarding firm standards, and delivering fair resolutions for clients.   The ideal candidate will be a strong collaborator who can thrive in a fast-paced environment, demonstrates intellectual curiosity, and has a desire to learn and explore new things. 

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:

• Lead the investigation and resolution of customer complaints in a timely manner, ensuring compliance with Firm and industry regulations
• Partner with Financial Professionals and customers to gather information to ensure matters are handled in an objective and fair manner.
• Collaborate with Compliance, Supervision, Legal and Operations teams to manage customer complaint investigations.
• Complete all required filings in accordance with regulatory rules (i.e. 4530(d) and U4/U5 amendment filings) and within mandated timeframes.
• Document and maintain accurate records of complaints, investigations, and resolutions.
• Escalate significant issues to senior management and coordinate referrals to appropriate departments.
• Identify and share best practices or process improvements.
• Support training and mentorship of junior level analysts as necessary

Basic Requirements:

• FINRA Series 7 is required
• Minimum of 3 years of Industry experience with a broker/dealer, in the compliance or legal/ regulatory role.  
• Excellent communication skills, both written and verbal, for effective interaction with customers and stakeholders at all levels. 
• Proven ability to interpret and apply FINRA Rules and Notices to Members, Compliance notices, and other publications impacting broker/dealer operations.
• Working knowledge of FINRA Rule 4530 and Form U4/U5.
• Familiarity with the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds.
• Skilled in building collaborative relationships with business partners to obtain information and achieve objectives.
• Must be organized, detail-oriented, investigative and have the ability to handle a high volume of work independently.

Preferred Requirements:

• Legal, paralegal and/or regulatory experience.
• FINRA Series 24 and 65/66.
• Insurance license (life/health).
• Prior Customer Complaint handling experience strongly preferred.