Sr. Compliance Analyst, Customer Complaints

Advisor Group • Scottsdale, AZ

92d • $80,000 - $90,000 • Onsite

About The Position

Osaic is seeking an organized, detail-oriented and energetic Senior 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

• FINRA Series 7 is required.
• Minimum of 3 years of Industry experience with a broker/dealer, in the compliance or legal/regulatory role.
• Excellent communication skills, both written and verbal, for effective interaction with customers and stakeholders at all levels.
• Proven 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

• Legal, paralegal and/or regulatory experience.
• FINRA Series 24 and 65/66.
• Insurance license (life/health).
• Prior Customer Complaint handling experience strongly preferred.

Responsibilities

• Lead the investigation and resolution of customer complaints in a timely manner, ensuring compliance with Firm and industry regulations.
• Partner with Financial Professionals and customers to gather information to ensure matters are handled in an objective and fair manner.
• Collaborate with Compliance, Supervision, Legal and Operations teams to manage customer complaint investigations.
• Complete all required filings in accordance with regulatory rules (i.e. 4530(d) and U4/U5 amendment filings) and within mandated timeframes.
• Document and maintain accurate records of complaints, investigations, and resolutions.
• Escalate significant issues to senior management and coordinate referrals to appropriate departments.
• Identify and share best practices or process improvements.
• Support training and mentorship of junior level analysts as necessary.

Benefits

• Health insurance
• Vision insurance
• Dental insurance
• 401k
• Paid time away
• Volunteer days
• Annual bonus

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Administrative and Support Services
• Education Level: Bachelor's degree