Compliance Analyst, Customer Complaints
Osaic
full-time
Posted on:
Location Type: Hybrid
Location: Scottsdale • Arizona • Florida • United States
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Salary
💰 $75,000 - $95,000 per year
About the role
- Document and resolve customer complaints in a timely manner, ensuring compliance with Firm policy and industry regulations.
- Collaborate with Compliance, Supervision, Legal, Operations and other internal teams to ensure proper handling of customer complaints.
- Partner with advisors and supervisors to gather information and maintain accurate records of complaints, investigations, and resolutions.
- Communicate 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) within established timeframes.
- Present findings clearly and confidently, including in formal settings such as arbitration hearings, as needed.
- Perform other duties as assigned
Requirements
- Bachelor’s degree required; an equivalent combination of education and significant relevant experience may be considered in lieu of degree.
- Minimum of two years of experience in a compliance, regulatory, operational, legal or similar role within financial services.
- Excellent communication skills, both written and verbal, for effective interaction with customers and stakeholders at all levels.
- Ability to interpret and apply FINRA Rules and Notices to Members, Compliance notices, and other publications impacting broker/dealer operations.
- Working knowledge of FINRA Rule 4530 and Form U4/U5.
- Solid understanding of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, equities, and fixed income products.
- Demonstrated ability to build collaborative relationships and effectively gather information across business units.
- Highly organized, detail-oriented, and investigative with the ability to manage a high volume of work independently and prioritize competing demands.
Benefits
- health, vision, dental insurance
- 401k
- paid time away
- volunteer days
- annual performance-based bonus
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
FINRA RulesFINRA Rule 4530Form U4Form U5regulatory compliancecustomer complaint resolutioninvestigative skillsrecord keepingfiling compliancefinancial services experience
Soft Skills
communication skillscollaborative relationshipsorganizational skillsdetail-orientedindependent workprioritizationcustomer interactionproblem-solvingpresentation skillsstakeholder engagement