Osaic
Compliance Analyst, Customer Complaints – Osaic
Location(s): 2300 Windy Ridge Parkway, Atlanta, GA 30339
Location(s): 7755 Third Street North, Oakdale, MN 55128
Location(s): 877 Executive Center Drive West, St. Petersburg, FL 33702
Location(s): 12325 Port Grace Boulevard, La Vista, NE 68128
Location(s): 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
Schedule: Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Non-remote employees must be willing to work this schedule. Given the regional and travel requirements for this position, Osaic is open to remote applicants for this position.
Role Type: Full time
Salary: $75,000 - $90,000 per year + sales incentive compensation, paid quarterly. Actual compensation offered will be determined individually based on a number of job-related factors, including location, skills, experience, and education.
Benefits: health, vision, dental insurance, 401k, vacation and sick time, 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, detailed and energetic 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.
Responsibilities
Document and resolve customer complaints in a timely manner, ensuring compliance with Firm and industry regulations.
Collaborate with Compliance, Supervision, Legal and Operations teams to ensure proper handling of customer complaints.
Work with advisors and supervisors to gather information and maintain accurate records of complaints, investigations, and resolutions.
Work with customers to gather additional information to ensure matters are handled in an objective and fair manner.
Escalate significant issues to senior management and coordinate referrals to appropriate departments.
Complete all required filings in accordance with regulatory rules (i.e. 4530(d) and U4/U5 amendment filings) and within the appropriate timeframes.
Perform other duties as assigned.
Education Requirements
Bachelor’s degree preferred. High school diploma in combination with significant practical experience may be considered in lieu of degree.
Basic Requirements
At least two years of experience in a similar capacity.
Excellent communication skills, both written and verbal, for effective interaction with customers and stakeholders at all levels.
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
At least two years of industry experience with a broker/dealer, in a compliance or Legal/Regulatory role.
FINRA Series 7 and Series 24.
Insurance license (life/health).
Prior Customer Complaint handling experience strongly preferred.
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.
Seniority level Entry level
Employment type Full‑time
Job function Legal
Referrals increase your chances of interviewing at Osaic by 2x.
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Location(s): 7755 Third Street North, Oakdale, MN 55128
Location(s): 877 Executive Center Drive West, St. Petersburg, FL 33702
Location(s): 12325 Port Grace Boulevard, La Vista, NE 68128
Location(s): 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
Schedule: Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Non-remote employees must be willing to work this schedule. Given the regional and travel requirements for this position, Osaic is open to remote applicants for this position.
Role Type: Full time
Salary: $75,000 - $90,000 per year + sales incentive compensation, paid quarterly. Actual compensation offered will be determined individually based on a number of job-related factors, including location, skills, experience, and education.
Benefits: health, vision, dental insurance, 401k, vacation and sick time, 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, detailed and energetic 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.
Responsibilities
Document and resolve customer complaints in a timely manner, ensuring compliance with Firm and industry regulations.
Collaborate with Compliance, Supervision, Legal and Operations teams to ensure proper handling of customer complaints.
Work with advisors and supervisors to gather information and maintain accurate records of complaints, investigations, and resolutions.
Work with customers to gather additional information to ensure matters are handled in an objective and fair manner.
Escalate significant issues to senior management and coordinate referrals to appropriate departments.
Complete all required filings in accordance with regulatory rules (i.e. 4530(d) and U4/U5 amendment filings) and within the appropriate timeframes.
Perform other duties as assigned.
Education Requirements
Bachelor’s degree preferred. High school diploma in combination with significant practical experience may be considered in lieu of degree.
Basic Requirements
At least two years of experience in a similar capacity.
Excellent communication skills, both written and verbal, for effective interaction with customers and stakeholders at all levels.
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
At least two years of industry experience with a broker/dealer, in a compliance or Legal/Regulatory role.
FINRA Series 7 and Series 24.
Insurance license (life/health).
Prior Customer Complaint handling experience strongly preferred.
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.
Seniority level Entry level
Employment type Full‑time
Job function Legal
Referrals increase your chances of interviewing at Osaic by 2x.
#J-18808-Ljbffr