Compliance Analyst, BD Core Compliance

Compliance Analyst, Broker Dealer Core Compliance

Compliance Opportunity in Financial Services

Location(s) :

Atlanta : 2300 Windy Ridge Pkwy SE, Suite 750, Atlanta, GA 30339

La Vista : 12325 Port Grace Blvd, La Vista, NE 68128

Oakdale : 7755 3rd St. N, Oakdale, MN 55128

Scottsdale : 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

St. Petersburg : 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702

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 : $50,000 - $63,000 per year + annual bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page.

Summary : We are looking for a driven and motivated individual to join our BD Core Compliance team. The Compliance Analyst will be responsible for reviewing onboarding candidates for firm affiliation as well as monitoring, researching and responding to compliance requests submitted by the firm's financial professionals, office staff and internal department colleagues. The ideal candidate will exhibit organizational, analytical and problem-solving behaviors to support an array of compliance requests and inquiries while fostering a compliance culture across Osaic.

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 :

Basic Requirements :

Preferred Requirements :