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Osaic · 2 hours ago

Field Supervision Analyst I

Atlanta, GA

Full-time

Hybrid

Entry Level

$53K/yr - $56K/yr

1+ years exp

Osaic is a financial services company that offers an entry-level opportunity for individuals looking to start a career in Supervision. The Field Supervision Analyst I will monitor compliance requirements, assist business partners, and provide exceptional customer service while developing relationships within the organization.

Business DevelopmentFinancial ServicesWealth Management

No H1B

Responsibilities

Monitoring and tracking of various Financial Professional supervision and compliance requirements including blotter resolution, aged supervisory alerts, supervisory logs and surveillance escalations

Assists internal and external business partners with the gathering and reporting of information from various supervision systems

Develops and maintains relationships with team members, internal business partners and Financial Professionals

Works to identify red flag items to be escalated to management

Works with team members to address sales practice concerns, including training, or issuance of disciplinary letters

Provides extraordinary customer service to Financial Professionals and Home Office Staff, handle incoming calls (direct and via a department call queue) and respond to questions

Identify and route department work items in Salesforce and shared department email box

Qualification

Financial services experienceAnalytical skillsCommunication skillsMS Word proficiencyMS Excel proficiencyFINRA rulesCustomer service skillsAdministrative skillsSalesforce experienceMS Access familiarityOutlook Scheduling familiarityProblem-solving skills