Compliance Analyst, Customer Complaints

Advisor Group•Atlanta, GA

2d•$75,000 - $95,000•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 continuously learn and navigate complex issues.

Requirements

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.
Bachelor’s degree required; an equivalent combination of education and significant relevant experience may be considered in lieu of degree.

Nice To Haves

FINRA Series 7 and Series 24.
Insurance license (life/health).
Prior experience handling customer complaints or regulatory inquiries.

Responsibilities

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