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Osaic · 1 month ago

Sr Analyst, Hybrid IA Compliance

Oakdale, MN

Full-time

Hybrid

Mid, Senior Level

$90K/yr - $100K/yr

3+ years exp

Osaic is a company in the financial services sector, and they are seeking a Senior Analyst for Hybrid IA Compliance. This role involves providing oversight functions to financial professionals, ensuring compliance with regulations, and collaborating with various internal teams to address issues and improve processes.

Business DevelopmentFinancial ServicesWealth Management

Responsibilities

Supporting the IA Compliance with reviews of the investment advisory services provided to clients through an Independent RIA

Supporting the IA Compliance with reviews of the investment advisory services provided to clients through dually RIA affiliated Financial Professionals

Partnering with Compliance, Supervision, Legal, Operations and other internal business partners to address inquiries and assist with issue resolution

Working with Financial Professionals and Supervision to gather information as part of internal tasks and procedures

Producing various other data capturing tasks and procedures for IA Compliance

Identification and escalation of issues to senior management as necessary

Ensure compliance with Firm and industry regulations

Identify and share best practices or process improvements

Qualification

Investment Advisers ActInvestment Company ActFINRA regulationsMS ExcelAnalytical skillsResearch skillsCommunication skillsProblem-solvingTime managementInterpersonal skillsOrganizational skills

Required

Have a thorough understanding of the securities industry

Possess well-developed analytical skills, highly organized with the ability to handle multiple tasks and multiple priorities simultaneously

Work well in a fast-paced and complex collaborative environment

Excellent interpersonal, troubleshooting and communication skills

Proficiency in MS Excel

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

3-5 years of relevant work experience such as RIA or regulatory agency

Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 Securities Act of 1933, Securities Act of 1934 and FINRA rules and Regulations

Excellent verbal and written communication skills

Must be proficient with MS Office and Word and Excel

Strong abilities in analytical thinking, problem-solving, research, and time management. Ability to think through complex Compliance issues

Ability to work on assignments independently, using a high level of judgment and initiative in resolving problems and developing recommendations