Sr. Compliance Analyst, Customer Complaints

OsaicOmaha, NE, US

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Senior Compliance Analyst, Customer Complaints

Osaic is seeking an organized, detail-oriented and energetic Senior Compliance Analyst to join our Customer Complaint team. This individual will play a critical role in ensuring regulatory compliance, safeguarding firm standards, and delivering fair resolutions for clients. The ideal candidate will be a strong collaborator who can thrive in a fast-paced environment, demonstrates intellectual curiosity, and has a desire to learn and explore new things.

Location(s) : Atlanta, GA; La Vista, NE; Oakdale, MN; Scottsdale, AZ; St. Petersburg, FL

Osaic is not considering remote candidates at this time. 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 : $80,000 - $90,000 per year + annual bonus

Education Requirements : Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Responsibilities :

Lead the investigation and resolution of customer complaints in a timely manner, ensuring compliance with Firm and industry regulations
Partner with Financial Professionals and customers to gather information to ensure matters are handled in an objective and fair manner.
Collaborate with Compliance, Supervision, Legal and Operations teams to manage customer complaint investigations.
Complete all required filings in accordance with regulatory rules (i.e. 4530(d) and U4 / U5 amendment filings) and within mandated timeframes.
Document and maintain accurate records of complaints, investigations, and resolutions.
Escalate significant issues to senior management and coordinate referrals to appropriate departments.
Identify and share best practices or process improvements.
Support training and mentorship of junior level analysts as necessary

Basic Requirements :

FINRA Series 7 is required

Minimum of 3 years of Industry experience with a broker / dealer, in the compliance or legal / regulatory role.

Excellent communication skills, both written and verbal, for effective interaction with customers and stakeholders at all levels.

Proven ability to interpret and apply FINRA Rules and Notices to Members, Compliance notices, and other publications impacting broker / dealer operations.

Working knowledge of FINRA Rule 4530 and Form U4 / U5.

Familiarity with the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds.

Skilled in building collaborative relationships with business partners to obtain information and achieve objectives.

Must be organized, detail-oriented, investigative and have the ability to handle a high volume of work independently.

Preferred Requirements :

Legal, paralegal and / or regulatory experience.

FINRA Series 24 and 65 / 66.

Insurance license (life / health).

Prior Customer Complaint handling experience strongly preferred.

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Compliance Analyst • Omaha, NE, US