Advisor Group
Supervision Analyst, Electronic Communications Supervision
Advisor Group, La Vista, Nebraska, United States, 68128
Supervision Opportunity in Financial Services
Supervision Analyst, Electronic Communications Supervision
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 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:
$55,000 - 59,000 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: Osaic Benefits.
Summary: The Supervision Analyst position is an entry-level role within Osaic’s Supervision team, designed to provide foundational experience in regulatory oversight. This role offers structured professional development, including opportunities to pursue industry-recognized licenses such as the FINRA Securities Industry Essentials (SIE), Series 7, and other relevant registrations. These credentials are critical for advancing within supervisory and compliance functions and will be supported through firm-sponsored training and resources.
Outlined below are the primary responsibilities associated with this position. Due to the dynamic nature of the regulatory environment and the ongoing evolution of the firm, job duties and specific assignments may change as business needs require.
Education Requirements: Associate’s degree from accredited college is preferred. Minimum of high school diploma or equivalent is required.
Responsibilities:
Review of electronic communications for the financial professionals, including emails, text messages, and Teams messages
Identify items of concern to be escalated to a Registered Principal for further review and resolution
Develop and maintain ongoing relationships with team members, internal business partners, and Financial Professionals
Participate in ongoing training to develop proficiency and expertise in supervision systems and ability to identify areas of risk in communications
Provide extraordinary customer service to Financial Professionals and Home Office staff, handle incoming calls (direct and via a department call queue) and be able to respond to or appropriately lift emails in shared department inbox
Basic Requirements:
Minimum 1 year in the financial services industry or 2 years of administrative work experience
Strong professional communication skills to effectively communicate with Financial Professionals and Home Office Staff
Ability to effectively handle and prioritize multiple task in a fast-paced environment to meet defined deadlines
Strong analytical and problem-solving skills
Proven experience using MS Word and Excel as well as an aptitude to use new software as required
Knowledge of relevant FINRA and SEC rules and regulations
Ability to navigate multiple computer programs simultaneously
Must be able to work in a team environment and support other colleagues as needed
Preferred Requirements:
FINRA SIE or Series 7 preferred
Willingness to pursue additional licensing 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.
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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 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:
$55,000 - 59,000 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: Osaic Benefits.
Summary: The Supervision Analyst position is an entry-level role within Osaic’s Supervision team, designed to provide foundational experience in regulatory oversight. This role offers structured professional development, including opportunities to pursue industry-recognized licenses such as the FINRA Securities Industry Essentials (SIE), Series 7, and other relevant registrations. These credentials are critical for advancing within supervisory and compliance functions and will be supported through firm-sponsored training and resources.
Outlined below are the primary responsibilities associated with this position. Due to the dynamic nature of the regulatory environment and the ongoing evolution of the firm, job duties and specific assignments may change as business needs require.
Education Requirements: Associate’s degree from accredited college is preferred. Minimum of high school diploma or equivalent is required.
Responsibilities:
Review of electronic communications for the financial professionals, including emails, text messages, and Teams messages
Identify items of concern to be escalated to a Registered Principal for further review and resolution
Develop and maintain ongoing relationships with team members, internal business partners, and Financial Professionals
Participate in ongoing training to develop proficiency and expertise in supervision systems and ability to identify areas of risk in communications
Provide extraordinary customer service to Financial Professionals and Home Office staff, handle incoming calls (direct and via a department call queue) and be able to respond to or appropriately lift emails in shared department inbox
Basic Requirements:
Minimum 1 year in the financial services industry or 2 years of administrative work experience
Strong professional communication skills to effectively communicate with Financial Professionals and Home Office Staff
Ability to effectively handle and prioritize multiple task in a fast-paced environment to meet defined deadlines
Strong analytical and problem-solving skills
Proven experience using MS Word and Excel as well as an aptitude to use new software as required
Knowledge of relevant FINRA and SEC rules and regulations
Ability to navigate multiple computer programs simultaneously
Must be able to work in a team environment and support other colleagues as needed
Preferred Requirements:
FINRA SIE or Series 7 preferred
Willingness to pursue additional licensing 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.
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