Compliance Analyst – IA Oversight

Osaic

Financial-services compliance analyst overseeing investment-advisory surveillance, testing, and risk assessments at Osaic. Supporting RIA advisors and strengthening regulatory procedures across five office hubs.

Posted 8/21/2026full-timeAtlanta • Arizona, Florida, Minnesota, New York • 🇺🇸 United StatesJuniorMid-Level💰 $65,000 - $69,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in Investment Advisory compliance, including risk assessments, monitoring, and enhancing compliance programs. Proficient in regulatory requirements and providing guidance on compliance procedures to support advisors.

Highest-signal resume keywords

Investment Advisory ComplianceRisk AssessmentRegulatory RequirementsFINRA Series 7, 24, 66 or 63/65Analytical Thinking

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

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

Hard Skills

Risk AssessmentCompliance MonitoringCompliance TestingAnalytical ThinkingProblem SolvingResearchTime Management

Soft Skills

Verbal CommunicationWritten Communication

Tools & Technologies

MS OfficeWordExcelPowerPointOutlook

Certifications & Qualifications

FINRA Series 7FINRA Series 24FINRA Series 66FINRA Series 63FINRA Series 65

Industry Keywords

Investment Advisers Act of 1940Investment Company Act of 1940Securities Act of 1933Broker/DealerRegistered Investment AdviserRegulatory Agency

About the role

Key responsibilities & impact

Support the existing Investment Advisory compliance surveillance program
Conduct risk assessments and testing of IA compliance programs and Financial Planning
Perform monitoring and surveillance over business processes and controls
Analyze current IA Compliance functions and suggest enhancements and standardization
Identify and recommend 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 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
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
Proficient with MS Office (Word, Excel, PowerPoint, and Outlook)
Strong abilities in analytical thinking, problem solving, research, and time management
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
Experience in monitoring, testing, and conducting risk assessments of investment advisory compliance activities

Benefits

Comp & perks

Annual performance-based bonus
Health insurance
Vision insurance
Dental insurance
401k
Paid time away
Volunteer days