Osaic ยท 16 hours ago
Supervision Analyst, Electronic Communications Supervision
La Vista
Full-time
Hybrid
Entry Level
$55K/yr - $59K/yr
1+ years expOsaic is a company operating in the financial services sector, and they are seeking a Supervision Analyst for their Supervision team. This entry-level role focuses on providing regulatory oversight and developing foundational experience, with opportunities for professional development and industry-recognized licenses.
Business DevelopmentFinancial ServicesWealth Management
Responsibilities
Review of electronic communications for the financial professionals, including emails, text messages, and Teams messages
Identify items of concern to be escalated to a Registered Principal for further review and resolution
Develop and maintain ongoing relationships with team members, internal business partners, and Financial Professionals
Participate in ongoing training to develop proficiency and expertise in supervision systems and ability to identify areas of risk in communications
Provide extraordinary customer service to Financial Professionals and Home Office staff, handle incoming calls (direct and via a department call queue) and be able to respond to or appropriately escalate emails in share department inbox
Qualification
Required
Minimum of high school diploma or equivalent is required
Minimum 1 year in the financial services industry or 2 years of administrative work experience
Strong professional communication skills to effectively communicate with Financial Professionals and Home Office Staff
Ability to effectively handle and prioritize multiple task in a fast-paced environment to meet defined deadlines
Strong analytical and problem-solving skills
Proven experience using MS Word and Excel as well as an aptitude to use new software as required
Knowledge of relevant FINRA and SEC rules and regulations
Ability to navigate multiple computer programs simultaneously
Must be able to work in a team environment and support other colleagues as needed
Preferred
FINRA SIE or Series 7 preferred
Willingness to pursue additional licensing preferred
Benefits
Health, vision, dental insurance
401k
Paid time away
Volunteer days
And much more
Company
Osaic
Osaic provides the support, resources, and community designed for the future of wealth management.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Jamie Price
Chief Executive Officer
Kristy Britt
CFO
Recent News
Private Banker International
2025-12-30
Company data provided by crunchbase