Supervision Analyst, Electronic Communications Supervision

Supervision Analyst, Electronic Communications Supervision

Location(s):

Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, 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 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: $55,000 - 59,000 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.

Summary:

The Supervision Analyst position is an entry-level role within Osaic's Supervision team, designed to provide foundational experience in regulatory oversight. This role offers structured professional development, including opportunities to pursue industry-recognized licenses such as the FINRA Securities Industry Essentials (SIE), Series 7, and other relevant registrations. These credentials are critical for advancing within supervisory and compliance functions and will be supported through firm-sponsored training and resources.

Outlined below are the primary responsibilities associated with this position. Due to the dynamic nature of the regulatory environment and the ongoing evolution of the firm, job duties and specific assignments may change as business needs require.

Education Requirements:

Associate's degree from accredited college is preferred. Minimum of high school diploma or equivalent is required.

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

Basic Requirements:

• 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 tasks 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 Requirements:

• FINRA SIE or Series 7 preferred
• Willingness to pursue additional licensing preferred