Osaic is a financial services company that offers an entry-level opportunity for individuals looking to start a career in Supervision. The Field Supervision Analyst I will monitor compliance requirements, assist business partners, and provide exceptional customer service while developing relationships within the organization.
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
Skills
- 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
- FINRA Series 6, Series 7 or Series 99 preferred
- FINRA SIE preferred
- Familiarity with MS Access, Outlook Scheduling a plus
Benefits
- Health, vision, dental insurance
- 401k
- Paid time away
- Volunteer days
- And much more
Company Overview
Osaic provides the support, resources, and community designed for the future of wealth management. It was founded in 2016, and is headquartered in Phoenix, Arizona, USA, with a workforce of 1001-5000 employees. Its website is https://osaic.com/.
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