Sr Analyst, Hybrid Ia Compliance

Osaic

Atlanta, GA, US
Base: $90,000 - $100,000 py; bonus: annual bonus i...
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3-5 years ria or regulatory experience
Proficiency in ms excel and word
Knowledge of investment advisers act 1940
** Osaic is seeking a Senior Analyst for its Hybrid IA Compliance team, responsible for overseeing compliance functions related to investment advisory services. Candidates should have a strong understanding of the securities industry and relevant experience, with a preference for those holding professional licenses such as FINRA Series 7 or 66. **

Job Summary

  • The role provides oversight functions to Financial Professionals offering investment advisory services through Independent RIAs.
  • Candidates must possess a thorough understanding of the securities industry and be able to handle multiple priorities simultaneously.
  • The position offers a competitive compensation package including health insurance, 401k, and paid time away.

Matching Summary

Match Score: 75

** Osaic is seeking a Senior Analyst for its Hybrid IA Compliance team, responsible for overseeing compliance functions related to investment advisory services. Candidates should have a strong understanding of the securities industry and relevant experience, with a preference for those holding professional licenses such as FINRA Series 7 or 66. **

Salary

Base: $90,000 - $100,000 per year; Bonus: Annual bonus included; Benefits: Health, vision, dental, 401k, PTO

Skills & Requirements

Must-have

  • 3-5 years RIA or regulatory experience
  • Proficiency in MS Excel and Word
  • Knowledge of Investment Advisers Act 1940
  • Understanding of FINRA rules and regulations

Nice-to-have

  • Strong analytical and problem-solving skills
  • Excellent verbal and written communication
  • Ability to work independently with initiative

Key Requirements

  • Bachelor's degree preferred or equivalent experience
  • Series 7, 24, 66, or 65 license preferred
  • Minimum high school diploma required

Work Rights

Must be located at one of the listed US hubs

Tailored Resume

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