Senior Compliance Analyst - Ia Oversight

Osaic

Atlanta, GA, US
Base: $77,000 – $87,000 py; bonus: annual bonus in...
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Investment advisers act of 1940 experience
Rule 206(4)-7 testing proficiency
Ms excel advanced skills required
** Osaic is seeking a Senior Compliance Analyst for their Investment Advisory Oversight team, primarily focused on monitoring compliance within RIA firms. The role requires a hybrid work schedule with a strong emphasis on compliance functions, including risk assessments and regulatory adherence. **

Job Summary

  • The Senior Compliance Analyst will monitor and test compliance functions within RIA firms under the direction of the SVP.
  • Candidates must possess prior experience with the Investment Advisers Act of 1940 and Rule 206(4)-7 testing.
  • The role offers a competitive salary between $77,000 and $87,000 plus an annual bonus and comprehensive benefits.

Matching Summary

Match Score: 75

** Osaic is seeking a Senior Compliance Analyst for their Investment Advisory Oversight team, primarily focused on monitoring compliance within RIA firms. The role requires a hybrid work schedule with a strong emphasis on compliance functions, including risk assessments and regulatory adherence. **

Salary

Base: $77,000 – $87,000 per year; Bonus: Annual bonus included; Benefits: Health, vision, dental, 401k, PTO

Skills & Requirements

Must-have

  • Investment Advisers Act of 1940 experience
  • Rule 206(4)-7 testing proficiency
  • MS Excel advanced skills required
  • Investment Company Act of 1940 knowledge
  • Securities Act of 1933 understanding

Nice-to-have

  • Strong analytical thinking abilities
  • Independent problem solving initiative
  • Experience with compliance standardization
  • Effective communication with management

Key Requirements

  • Bachelor's degree preferred or equivalent experience
  • Three to five years relevant financial institution experience
  • FINRA Series 7 and Series 24 licenses preferred
  • Current FINRA licensing (Series 66/63/65) a plus

Work Rights

Must be located at one of the listed US hubs

Tailored Resume

Cover Letter