Job Description
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 learn and explore new things. Responsibilities • Document and resolve customer complaints in a timely manner, ensuring compliance with Firm and industry regulations. • Collaborate with Compliance, Supervision, Legal and Operations teams to ensure proper handling of customer complaints. • Work with advisors and supervisors to gather information and maintain accurate records of complaints, investigations, and resolutions. • Work 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) and within the appropriate timeframes. • Perform other duties as assigned Requirements • At least two years of experience in a similar capacity • 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. • 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 • At least two years of industry experience with a broker/dealer, in a compliance or Legal/ Regulatory role. • FINRA Series 7 and Series 24. • Insurance license (life/health). • Prior Customer Complaint handling experience strongly preferred. Benefits • health, vision, dental insurance • 401k • vacation and sick time • volunteer days Apply tot his job