Supervision Analyst, Electronic Communications Supervision

Advisor Group•Scottsdale, AZ

2d•$55,000 - $59,000•Hybrid

About The Position

The Supervision Analyst position is an entry-level role within Osaic’s Supervision team, designed to provide foundational experience in regulatory oversight. This role offers structured professional development, including opportunities to pursue industry-recognized licenses such as the FINRA Securities Industry Essentials (SIE), Series 7, and other relevant registrations. These credentials are critical for advancing within supervisory and compliance functions and will be supported through firm-sponsored training and resources. Outlined below are the primary responsibilities associated with this position. Due to the dynamic nature of the regulatory environment and the ongoing evolution of the firm, job duties and specific assignments may change as business needs require.

Requirements

Minimum 1 year in the financial services industry or 2 years of administrative work experience
Strong professional communication skills to effectively communicate with Financial Professionals and Home Office Staff
Ability to effectively handle and prioritize multiple task 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
Must be able to work in a team environment and support other colleagues as needed
Minimum of high school diploma or equivalent is required.
Associate’s degree from accredited college is preferred.

Nice To Haves

FINRA SIE or Series 7 preferred
Willingness to pursue additional licensing preferred

Responsibilities

Review of electronic communications for the financial professionals, including emails, text messages, and Teams messages
Identify items of concern to be escalated to a Registered Principal for further review and resolution
Develop and maintain ongoing relationships with team members, internal business partners, and Financial Professionals
Participate in ongoing training to develop proficiency and expertise in supervision systems and ability to identify areas of risk in communications
Provide extraordinary customer service to Financial Professionals and Home Office staff, handle incoming calls (direct and via a department call queue) and be able to respond to or appropriately escalate emails in share department inbox