Compliance Analyst

Osaic

Atlanta, GA, US
Base: $55,000 - $63,000 py; bonus: annual bonus in...
Hybrid (minimum of 4 days in office)
Three to five years financial securities experience
Proficiency with ms excel for data analysis
Knowledge of mutual funds and variable annuities
Osaic is seeking a Compliance Analyst to monitor financial services operations, focusing on compliance risks and regulatory adherence. This full-time role requires a strong analytical background and experience in the financial securities industry, with a hybrid work model that necessitates in-office attendance

Job Summary

  • The Compliance Analyst plays a critical role in safeguarding the integrity of Osaic's financial services operations by monitoring advisor activity and identifying potential compliance risks.
  • This position is responsible for conducting detailed reviews of financial professionals' books of business, analyzing trade data, and detecting patterns that may indicate regulatory or policy concerns.
  • Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more.

Matching Summary

Match Score: 85

Osaic is seeking a Compliance Analyst to monitor financial services operations, focusing on compliance risks and regulatory adherence. This full-time role requires a strong analytical background and experience in the financial securities industry, with a hybrid work model that necessitates in-office attendance.

Salary

Base: $55,000 - $63,000 per year; Bonus: Annual bonus included; Benefits: Health, vision, dental, 401k, PTO

Skills & Requirements

Must-have

  • Three to five years financial securities experience
  • Proficiency with MS Excel for data analysis
  • Knowledge of mutual funds and variable annuities
  • Ability to interpret FINRA regulations and policies

Nice-to-have

  • Experience at an independent broker-dealer
  • Strong investigative and detail-oriented mindset
  • Subject matter expertise in system testing

Key Requirements

  • FINRA Series 7 required
  • Bachelor's degree preferred or equivalent experience
  • Minimum three to five years industry experience
  • Located at one of the specified office hubs

Work Rights

Must be located at one of the listed US hubs

Tailored Resume

Cover Letter