Osaic

Accountant

• Support monthly, quarterly, and year-end close activities through preparation of journal entries and account reconciliations
• Perform fluctuation analyses on balance sheet and income statement accounts and provide explanations to leadership
• Maintain the general ledger to ensure accuracy of accounting records and financial reporting
• Support internal and external audits by preparing support and responding to inquiries and requests
• Assist with process improvements and implementation of accounting best practices to improve control environment
• Ensure compliance with GAAP, internal controls, and company policies in processes and journal entries
• Collaborate with cross-functional teams to support business initiatives, track metrics/results, and resolve accounting issues
• All other duties as assigned

Operations

• Provide a high level of service and support to independent financial advisors nationwide
• Review, process and follow up on a variety of complex brokerage and non-brokerage account requests
• Act as subject matter expert for several different responsibilities within brokerage Operations
• Act as back-up to co-workers and senior processors through cross-training on all department functions
• Interact with clearing firm on routine brokerage account processing requests; provide timely updates and statuses in contact management and workflow systems
• Answer internal and external phone calls; make outbound phone calls to our advisors
• Update contact management systems with professional grammar and spelling
• Exercise judgment to know when to escalate issues to manager or supervisor
• Ability to process work from multiple operations classifications with a high degree of accuracy
• Act as a back-up for Operations Team Lead for escalated service requests and phone calls
• Assist in training and mentoring new hires
• Work closely with Operations Supervisor and Team Lead to ensure escalations are resolved
• Participate with projects and system testing as needed
• Identify and recommend opportunities for improving existing procedures, training manuals and other improvements
• Create a strong working relationship with vendors, internal stakeholders and advisors
• Keep up to date on changes to industry and business processes
• All other duties as assigned

Operations Processing Specialist I

Accounting Manager

• Ownership of team’s monthly close process including close result delivery, analytics, explanation of results, reconciliations and control environments
• Perform/review fluctuation analyses on significant variances in monthly results
• Identify, delegate and lead process improvement projects
• Understanding of technical accounting standards and how to apply them within areas of ownership
• Maintain benchmarking based analytics to ensure accurate financial statements
• Collaborate with other accounting and business functions to develop/improve reporting on performance indicators
• Operate delivery of financial results and support to Finance counterparts and Financial reporting delivery for 10K/Q
• Manage external audit requests, audit strategies and timelines
• Mentor and review work product, culture and performance indicators of team members
• Lead a team of 3+ individuals
• Develop and maintain excellent relationships with colleagues and business leaders
• Ability to delegate and staffing strategize to maximize work productivity of the team
• Operate annual strategic initiatives with other business functions including: project strategy, requirements, process development, controls, reporting and execution
• All other duties as assigned

Compliance

• support the existing Investment Advisory surveillance program
• conduct risk assessments and testing of IA compliance programs
• perform Monitoring & Surveillance over business processes and controls
• analyze current IA Compliance functions and suggest enhancements and standardization
• identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements
• review, draft and assist the RIA Compliance SVP with the implementation of compliance procedures
• support advisors by providing guidance on RIA policy and procedures questions
• execute desktop procedures for RIA surveillance and other IAR related activities

Senior Compliance Analyst – IA Oversight

• Monitor compliance with laws, rules and regulations
• Develop & manage AG’s RIA Compliance Program
• Coordinate and oversee the development, implementation and enforcement of policies, procedures and programs to minimize risk
• Prepare for and respond to regulatory inquiries, examinations, internal and external audits
• Represent RIA Compliance Department in cross functional Firm initiatives and committees
• Provide investment advisory compliance support to RIA subsidiaries of Osaic
• Research and resolve issues, provide recommendations, and escalate to senior management as needed
• Design, implement, and maintain a risk-based compliance testing program in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940
• Develop and execute annual and periodic testing plans to evaluate the effectiveness of RIA compliance policies, procedures, and associated internal controls
• Perform and oversee documented testing of key advisory risk areas, including but not limited to conflicts of interest, disclosures, best execution, trading practices, marketing/advertising, custody, cybersecurity, privacy, and personal trading
• Evaluate testing results, identify control gaps or weaknesses, and ensure timely remediation, follow-up testing, and issue tracking
• Prepare formal written testing reports, summaries, and workpapers supporting conclusions and management recommendations
• Coordinate testing efforts with internal stakeholders (Legal, Supervision, Operations, Technology, Risk, and Internal Audit) to ensure comprehensive coverage and consistency.
• All other duties as assigned

IA Compliance Policies – Procedures Manager

Consultant

• Prepares and executes transition plans for new Financial Professionals
• Manages regular touchpoints with transitioning Financial Professional to instill confidence in the onboarding process and ensure excellent communication occurs.
• Closely monitors the asset transfers for the financial professionals by providing hands-on support and monitoring/resolving any NIGOs.
• Acts as an advocate for the transitioning Financial Professionals with any other areas across the organization to push for resolution, escalation of issues, and responsiveness to any questions.
• Manages cross-organizational projects.
• Must be able to build effective business relationships with internal departments, financial professionals and external service providers.

Transitions Consultant

• Ownership of assigned close process including close result delivery, analytics, explanation of results, reconciliations and control environments
• Perform/review fluctuation analyses on variances in monthly results on income statement and balance sheet
• Reviews and/or prepares monthly journal entries
• Owns and delivers external audit request timely and collaborates with internal/external auditors
• Assists with improvements of control environment of operational process and financial reporting
• Identifies and implements improvements to current accounting processes through process improvement and/or automation
• Develops and maintains excellent relationships with colleagues across business units / departments to foster an effective cross functional working environment
• Partners with business leaders to track financial metrics/results, controls and risks to drive reliable accounting results
• Works closely with management on various projects, including M&A, System development, Efficiency initiatives and control development
• Mentors junior team members
• All other duties as assigned.

Senior Accountant

Business Intelligence Developer

• Assist with updating and maintaining basic financial reports and spreadsheets in Excel
• Support routine data checks to ensure accuracy and completeness
• Prepare data extracts or simple visualizations for use by senior analysts
• Help maintain dashboards and reporting tools (e.g., Power BI, Tableau) under guidance
• Perform basic SQL queries or data pulls (training provided if needed)
• Assist with documenting processes, data definitions, and recurring report steps
• Support team members on ad-hoc data requests and administrative reporting tasks
• Participate in cross-functional meetings to learn business processes and data flows

Finance Business Intelligence Analyst I

Account Manager

• Provide exceptional client service by responding to client inquiries, troubleshooting issues, and serving as a liaison between clients, Wealth Managers, and internal teams
• Support Wealth Managers in maintaining strong client relationships and delivering a high-touch client experience
• Prepare client reports, meeting materials, and presentations for client meetings
• Coordinate meeting logistics and ensure all required documentation and compliance materials are prepared in advance
• Manage and maintain accurate client information within internal systems and CRM platforms
• Prepare, submit, and track client paperwork and account documentation with custodians
• Assist with the preparation of quarterly statements and client communications
• Research and respond to service requests received through email, phone calls, or internal tasks from Wealth Managers
• Coordinate with custodians such as Fidelity and Schwab to support account servicing needs
• Assist with firm-wide initiatives and projects related to compliance, data integrity, reporting, and billing
• Collaborate closely with team members within a team-based client service structure

Relationship Manager

Risk

• Assisting in the build out of Osaic's risk management program
• Complete assigned projects, enhancing documentation of key risks and accompanying controls
• Engage with subject matter experts to create workflow mapping
• Identify key risks and gaps in controls
• Report directly to the VP or Manager within the Enterprise Risk Management Department