Compliance Analyst, Customer Complaints

Osaic

Compliance Analyst ensuring regulatory compliance for Customer Complaints team at Osaic. Collaborating with various internal teams and resolving customer inquiries effectively.

Posted 4/15/2026full-timeScottsdale • Arizona, Florida, Minnesota, New York • 🇺🇸 United StatesJuniorMid-Level💰 $75,000 - $95,000 per yearWebsite

About the role

Key responsibilities & impact

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

What you’ll need

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

Comp & perks

health, vision, dental insurance
401k
paid time away
volunteer days
annual performance-based bonus

ATS Keywords

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Applicant Tracking System Keywords

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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