Electronic Communications Supervision Analyst

Exciting Career Opportunity in Financial Services

Position: Electronic Communications Supervision Analyst

Location:

Osaic has offices at multiple locations, including Atlanta, La Vista, Oakdale, Scottsdale, and St. Petersburg. Applicants must be willing to work on a hybrid schedule, with a minimum of 4 days in the office weekly.

Role Type: Full-time

Salary: $55,000 - $59,000 per year + annual bonus

Compensation will be determined based on various factors, including location, skills, licensure, experience, and education. Osaic offers a competitive total compensation package that includes health, vision, dental insurance, a 401k plan, paid time off, volunteer days, and more.

Summary:

The Electronic Communications Supervision Analyst position is an entry-level role within the Supervision team at Osaic, designed to offer foundational experience in regulatory oversight. This role provides structured professional development, with opportunities to pursue industry-recognized licenses such as the FINRA Securities Industry Essentials (SIE) and Series 7, fully supported by firm-sponsored training and resources.

Key Responsibilities:

• Conduct reviews of electronic communications from financial professionals, including emails, text messages, and Teams messages.
• Identify and escalate items of concern to a Registered Principal for thorough review and resolution.
• Build and maintain positive relationships with team members, internal business partners, and Financial Professionals.
• Engage in ongoing training to enhance expertise in supervision systems and to better identify risks in communications.
• Deliver exceptional customer service to Financial Professionals and Home Office staff, managing incoming calls and emails effectively.

Basic Qualifications:

• Minimum 1 year in the financial services industry or 2 years of administrative work experience.
• Strong communication skills for effective interactions with Financial Professionals and Home Office staff.
• Able to prioritize and manage multiple tasks in a fast-paced environment to meet deadlines.
• Demonstrated analytical and problem-solving skills.
• Experienced in using MS Word and Excel, with a willingness to learn new software.
• Sufficient knowledge of relevant FINRA and SEC regulations.
• Capable of navigating multiple software programs simultaneously.
• A team player who actively supports colleagues.

Preferred Qualifications:

• Possession of FINRA SIE or Series 7 certification is preferred.
• Willingness to pursue additional licensing is advantageous.