Osaic
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Compliance Analyst, BD Core Compliance
role at
Osaic
Compliance Opportunity in Financial Services
Compliance Analyst, Broker Dealer Core Compliance
Location(s):
Atlanta: 2300 Windy Ridge Pkwy SE, Suite 750, 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:
$50,000 - $63,000 per year + annual bonus
Actual compensation offered will be determined individually, based on 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, 401(k), paid time off, 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 We are looking for a driven and motivated individual to join our BD Core Compliance team. The Compliance Analyst will be responsible for reviewing onboarding candidates for firm affiliation as well as monitoring, researching, and responding to compliance requests submitted by the firm’s financial professionals, office staff, and internal department colleagues. The ideal candidate will exhibit organizational, analytical, and problem‑solving behaviors to support an array of compliance requests and inquiries while fostering a compliance culture across Osaic.
Education Requirements
Bachelor’s degree preferred; high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of a degree. Minimum of high school diploma or equivalent is required.
Responsibilities
Perform due diligence reviews of onboarding financial professionals and registered support staff using internal and third‑party research tools.
Review office sharing arrangements and private securities transactions submitted by the Firm’s financial professionals for compliance with firm requirements.
Communicate decisions through written letters of understanding, authorization, or denial.
Conduct research and analysis using a wide variety of internal and external resources to facilitate reimbursements and settlements to customers.
Review compliance requests and inquiries received into the BD Core Compliance Team and respond and route inquiries to respective departments.
Handle BD Compliance queue calls from the field and internal colleagues.
Investigate matters referred to Compliance involving possible policy violations.
Work with advisors and supervisors to gather information and documentation required to resolve matters.
Log and complete assigned work within department service levels and standards while keeping complete case records.
Basic Requirements
5+ years of financial services industry experience
2 – 3 years of compliance or supervision experience
Proficiency in MS Office applications (Word, Excel, Teams)
Strong organizational skills and the ability to work within strict timeframes
Strong verbal and written communication skills are required
Ability to exercise judgement and discretion
Ability to work across several systems
FINRA Series 7 license
Knowledge of financial industry compliance and regulations
Knowledge of FINRA Form U4, Form U5, and Branch Registration Form
Knowledge of consumer background reports and terminology
Ability to interpret the Firm’s Compliance Manual, FINRA Manual, FINRA Notices to Members, Compliance notices, and other publications concerning broker/dealer regulation, and internal policies and procedures
Preferred Requirements
FINRA Series 24, 65, or 66 licenses
Experience with Salesforce, NetX360, Wealthscape
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.
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Compliance Analyst, BD Core Compliance
role at
Osaic
Compliance Opportunity in Financial Services
Compliance Analyst, Broker Dealer Core Compliance
Location(s):
Atlanta: 2300 Windy Ridge Pkwy SE, Suite 750, 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:
$50,000 - $63,000 per year + annual bonus
Actual compensation offered will be determined individually, based on 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, 401(k), paid time off, 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 We are looking for a driven and motivated individual to join our BD Core Compliance team. The Compliance Analyst will be responsible for reviewing onboarding candidates for firm affiliation as well as monitoring, researching, and responding to compliance requests submitted by the firm’s financial professionals, office staff, and internal department colleagues. The ideal candidate will exhibit organizational, analytical, and problem‑solving behaviors to support an array of compliance requests and inquiries while fostering a compliance culture across Osaic.
Education Requirements
Bachelor’s degree preferred; high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of a degree. Minimum of high school diploma or equivalent is required.
Responsibilities
Perform due diligence reviews of onboarding financial professionals and registered support staff using internal and third‑party research tools.
Review office sharing arrangements and private securities transactions submitted by the Firm’s financial professionals for compliance with firm requirements.
Communicate decisions through written letters of understanding, authorization, or denial.
Conduct research and analysis using a wide variety of internal and external resources to facilitate reimbursements and settlements to customers.
Review compliance requests and inquiries received into the BD Core Compliance Team and respond and route inquiries to respective departments.
Handle BD Compliance queue calls from the field and internal colleagues.
Investigate matters referred to Compliance involving possible policy violations.
Work with advisors and supervisors to gather information and documentation required to resolve matters.
Log and complete assigned work within department service levels and standards while keeping complete case records.
Basic Requirements
5+ years of financial services industry experience
2 – 3 years of compliance or supervision experience
Proficiency in MS Office applications (Word, Excel, Teams)
Strong organizational skills and the ability to work within strict timeframes
Strong verbal and written communication skills are required
Ability to exercise judgement and discretion
Ability to work across several systems
FINRA Series 7 license
Knowledge of financial industry compliance and regulations
Knowledge of FINRA Form U4, Form U5, and Branch Registration Form
Knowledge of consumer background reports and terminology
Ability to interpret the Firm’s Compliance Manual, FINRA Manual, FINRA Notices to Members, Compliance notices, and other publications concerning broker/dealer regulation, and internal policies and procedures
Preferred Requirements
FINRA Series 24, 65, or 66 licenses
Experience with Salesforce, NetX360, Wealthscape
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.
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