Compliance Analyst, Customer Complaints

Advisor Group•Scottsdale, AZ

5d•$75,000 - $90,000•Hybrid

About The Position

Osaic is seeking an organized, detailed and energetic Compliance Analyst to join our Customer Complaint team. This individual will play a critical role in ensuring regulatory compliance, safeguarding firm standards, and delivering fair resolutions for clients. The ideal candidate will be a strong collaborator who can thrive in a fast-paced environment, demonstrates intellectual curiosity, and has a desire to learn and explore new things.

Requirements

At least two years of experience in a similar capacity
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.
Familiarity with the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds.
Skilled in building collaborative relationships with business partners to obtain information and achieve objectives.
Must be organized, detail-oriented, investigative and have the ability to handle a high volume of work independently.

Nice To Haves

At least two years of industry experience with a broker/dealer, in a compliance or Legal/ Regulatory role.
FINRA Series 7 and Series 24.
Insurance license (life/health).
Prior Customer Complaint handling experience strongly preferred.

Responsibilities

Document and resolve customer complaints in a timely manner, ensuring compliance with Firm and industry regulations.
Collaborate with Compliance, Supervision, Legal and Operations teams to ensure proper handling of customer complaints.
Work with advisors and supervisors to gather information and maintain accurate records of complaints, investigations, and resolutions.
Work 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) and within the appropriate timeframes.
Perform other duties as assigned