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Osaic · 21 hours ago

Compliance Analyst, Customer Complaints

Scottsdale, AZ

Full-time

Hybrid

Entry, Mid Level

$75K/yr - $90K/yr

2+ years exp

Osaic is seeking an organized, detailed and energetic 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.

Business DevelopmentFinancial ServicesWealth Management

No H1B

U.S. Citizen Only

Responsibilities

Document and resolve customer complaints in a timely manner, ensuring compliance with Firm and industry regulations

Collaborate with Compliance, Supervision, Legal and Operations teams to ensure proper handling of customer complaints

Work with advisors and supervisors to gather information and maintain accurate records of complaints, investigations, and resolutions

Work with customers to gather additional information to ensure matters are handled in an objective and fair manner

Escalate significant issues to senior management and coordinate referrals to appropriate departments

Complete all required filings in accordance with regulatory rules (i.e. 4530(d) and U4/U5 amendment filings) and within the appropriate timeframes

Perform other duties as assigned

Qualification

FINRA Rules interpretationFINRA Rule 4530Form U4/U5 knowledgeCustomer complaint handlingBroker/dealer complianceCollaborative relationshipsInvestigative skillsInvestment productsInsurance licenseFINRA Series 7FINRA Series 24CommunicationDetail-orientedOrganizational skillsWork independently

Required

At least two years of experience in a similar capacity

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

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