Compliance Analyst, Customer Complaints

Osaic

Scottsdale, AZ, USA
Base: $75,000 - $95,000 py; bonus/equity: annual p...
Hybrid (minimum of 4 days in the office)
Document and resolve customer complaints
Collaborate with internal teams
Gather information from advisors
Osaic is seeking a Compliance Analyst for their Customer Complaints team, requiring a detail-oriented individual with a background in compliance within financial services. The role emphasizes collaboration and effective communication to ensure regulatory compliance and fair resolution of customer complaints

Job Summary

  • This individual will play a critical role in ensuring regulatory compliance, safeguarding firm standards, and delivering fair resolutions for clients.
  • Document and resolve customer complaints in a timely manner, ensuring compliance with Firm policy and industry regulations.
  • 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.

Matching Summary

Match Score: 85

Osaic is seeking a Compliance Analyst for their Customer Complaints team, requiring a detail-oriented individual with a background in compliance within financial services. The role emphasizes collaboration and effective communication to ensure regulatory compliance and fair resolution of customer complaints.

Salary

Base: $75,000 - $95,000 per year; Bonus/Equity: annual performance-based bonus; Benefits: health, vision, dental insurance, 401k, paid time away, volunteer days

Skills & Requirements

Must-have

  • Document and resolve customer complaints
  • Collaborate with internal teams
  • Gather information from advisors
  • Communicate with customers
  • Complete regulatory filings
  • Interpret FINRA Rules and Notices

Nice-to-have

  • Strong collaborator
  • Intellectual curiosity
  • Desire to learn
  • Thrive in fast-paced environment

Key Requirements

  • Bachelor’s degree or equivalent experience
  • Minimum two years of compliance experience
  • Working knowledge of FINRA Rule 4530
  • Working knowledge of Form U4/U5
  • FINRA Series 7 and Series 24 preferred
  • Insurance license preferred

Work Rights

Not specified

Tailored Resume

Cover Letter