Compliance Analyst, Customer Complaints

Compliance Analyst, Customer Complaints

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. The ideal candidate will be a strong collaborator who can thrive in a fast-paced environment, demonstrates intellectual curiosity, and has a desire to learn and explore new things.

Location(s) : 2300 Windy Ridge Parkway, Atlanta, GA 30339; 7755 Third Street North, Oakdale, MN 55128; 877 Executive Center Drive West, St. Petersburg, FL 33702; 12325 Port Grace Boulevard, La Vista, NE 68128; 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

Schedule : Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Non-remote employees must be willing to work this schedule. Given the regional and travel requirements for this position, Osaic is open to remote applicants for this position.

Role Type : Full time

Salary : $75,000 - $90,000 per year + sales incentive compensation, paid quarterly. Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and education.

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

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

Education Requirements :

Basic Requirements :

Preferred Requirements :