Field Supervision Analyst I

Advisor Group•La Vista, MN

11d•$53,000 - $56,000•Hybrid

About The Position

The Supervision Analyst is an entry level opportunity to begin your Supervision career with Osaic. As a Supervision Analyst, you will be supported to grow personally and professionally, providing you the opportunity to obtain additional licensing and kickstart your long-term career in Supervision. The following is an overview of the functions that will be performed by the Field Supervision Analyst. However, due to an ever-changing regulatory environment in which we operate and the growth and evolution of the firm, flexibility is required as job function and details of the work assignments may change over time.

Requirements

Minimum 1 year in the financial services industry
Minimum 2 years of administrative work in a high paced environment
Strong professional communication skills to effectively communicate with advisors and home office staff.
Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines.
Strong analytical and problem-solving skills.
Proven experience using MS Word and Excel as well as an aptitude to use new software as required.
Knowledge of relevant FINRA and SEC rules and regulations
Ability to navigate multiple computer programs simultaneously
Minimum of high school diploma or equivalent is required.

Nice To Haves

FINRA Series 6, Series 7 or Series 99 preferred
FINRA SIE preferred
Familiarity with MS Access, Outlook Scheduling a plus
Associate degree from an accredited college is preferred.

Responsibilities

Monitoring and tracking of various Financial Professional supervision and compliance requirements including blotter resolution, aged supervisory alerts, supervisory logs and surveillance escalations.
Assists internal and external business partners with the gathering and reporting of information from various supervision systems.
Develops and maintains relationships with team members, internal business partners and Financial Professionals.
Works to identify red flag items to be escalated to management.
Works with team members to address sales practice concerns, including training, or issuance of disciplinary letters.
Provides extraordinary customer service to Financial Professionals and Home Office Staff, handle incoming calls (direct and via a department call queue) and respond to questions.
Identify and route department work items in Salesforce and shared department email box.