Sr. Compliance Analyst, Customer Complaints

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 :

Preferred Requirements :