Senior Regulatory Data Analyst

Advisor Group•Scottsdale, AZ

8d•$85,000 - $100,000•Hybrid

About The Position

Osaic is seeking a Senior Regulatory Analyst to join the Regulatory Relations team. This role is responsible for producing high‑quality data and reports that support both Regulatory Relations and Legal. Key duties include collecting, integrating, analyzing, and reporting on complex data from multiple sources. Deliverables must be accurate and timely, as deadlines are frequently driven by regulatory agencies. The position requires a data‑focused professional with experience preparing complex reports and a strong understanding of the financial services industry and its regulatory requirements.

Requirements

Bachelor’s Degree from accredited university in Finance, Business Administration, Computer Science or similar degree is required
Experience in MS SQL Server is required
Proficiency in MS Office and various other business applications
Experience in working on Snowflake cloud-based data platform
Experience using reporting and analytics tools such as Power BI and Microsoft Excel to develop dashboards, automate reports, and support data‑driven decision‑making.
5+ years of reporting or data analytics
Experience in Financial Services

Nice To Haves

Candidates with FINRA Series 7
Strong written and verbal communication skills
Ability to operate effectively as part of a project team or individually
Series 24 (or S8 or S9/10)

Responsibilities

Respond to all regulatory examination requests by performing detailed data analysis and generating comprehensive reports using the firm’s production systems
Develop ad‑hoc statistical analyses and reports to support Legal and Regulatory initiatives
Analyze and report data trends
Assist with special projects, including producing compliance reports derived from noted deficiencies and recommendations from legal and regulatory reviews
Design, produce, and maintain standard reporting packages commonly requested during regulatory reviews
Ability to evaluate activities, reports, and manuals to determine compliance with regulatory guidelines
Collaborate with the Legal and Regulatory Relations teams to gather required data and prepare responses to legal and regulatory inquiries