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Compliance Analyst – IA Administration
OsaicInvestment advisory compliance analyst supporting financial advisors and IAR administration at Osaic, a financial services firm. Handling compliance inquiries, Form ADV supplements, workflows, and internal coordination.
Posted 8/21/2026full-timeAtlanta • Arizona, Florida, Minnesota, New York • 🇺🇸 United StatesJuniorMid-Level💰 $65,000 - $69,000 per yearWebsite
Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in investment advisory compliance, including knowledge of relevant regulations and the ability to provide guidance on compliance matters. Proficient in communication and analytical skills to effectively support financial advisors and internal departments.
Highest-signal resume keywords
Investment Advisers Act of 1940Securities Act of 1933FINRA Series 7MS Office ProficiencyCustomer Service Experience
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Compliance ReviewForm ADV Part 2B MaintenanceAnalytical ThinkingProblem SolvingResearch SkillsTime Management
Soft Skills
Verbal CommunicationWritten Communication
Certifications & Qualifications
FINRA Series 24FINRA Series 66FINRA Series 63FINRA Series 65
Industry Keywords
Broker/DealerRegistered Investment AdviserRegulatory AgencyFinancial InstitutionCompliance Operations
About the role
Key responsibilities & impact- Respond to incoming emails and phone calls from financial advisors, advisor office personnel, and internal departments regarding investment advisory compliance matters
- Provide guidance and support on routine compliance questions, policies, procedures, and administrative processes
- Assist with the review and maintenance of Form ADV Part 2B Brochure Supplements
- Support the onboarding and maintenance of Investment Advisor Representatives (IARs)
- Coordinate with Compliance Operations, Supervision, Legal, and other internal departments to resolve advisor inquiries and support business initiatives
- Monitor assigned workflows and ensure tasks are completed accurately and within established service standards
- Review and update desktop procedures when necessary
- Perform all other duties as assigned
Requirements
What you’ll need- Bachelor’s Degree Preferred; H.S. Diploma or GED certificate + Significant Practical Experience will be considered
- Minimum of two years of relevant work experience with a broker/dealer, registered investment adviser, regulatory agency, or similar financial institution
- Excellent verbal and written communication skills
- Must be proficient with MS Office (Word, Excel, PowerPoint, and Outlook)
- Strong abilities in analytical thinking, problem solving, research, and time management
- Prior Customer Service experience preferred
- FINRA Series 7, 24, 66 or 63/65 a plus
- Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933 preferred
Benefits
Comp & perks- Annual performance-based bonus
- Health insurance
- Vision insurance
- Dental insurance
- 401k
- Paid time away
- Volunteer days