Osaic

Senior Compliance Analyst – IA Oversight

Osaic

full-time

Posted on:

Location Type: Hybrid

Location: Atlanta • Arizona • Florida • United States

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Salary

💰 $77,000 - $87,000 per year

Job Level

Senior

About the role

  • 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

Requirements

  • Bachelor’s degree preferred
  • prior experience with the Investment Advisers Act of 1940
  • prior experience with Rule 206(4)7 testing
  • proficient with MS Office and Word
  • proficiency with MS Excel
  • strong abilities in analytical thinking, problem solving, research, and time management
  • ability to think through complex Compliance issues
  • strong written and verbal communication
Benefits
  • health, vision, dental insurance
  • 401k
  • paid time away
  • volunteer days
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
risk assessmentsIA compliance programsMonitoring & Surveillancecompliance proceduresdesktop proceduresRule 206(4)7 testing
Soft Skills
analytical thinkingproblem solvingresearchtime managementwritten communicationverbal communication
Certifications
Bachelor’s degree