SUMMARY:

Osaic is seeking an organized, detailed and energetic Compliance Analyst to join our Customer Complaint team, responsible for reviewing and responding to customer related grievances. The ideal candidate will be a strong collaborator who can thrive in a fast-paced environment, has an attitude of inquisitiveness and a desire to learn and explore new things.

EDUCATION REQUIREMENTS:

• Bachelor’s Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience will be considered in lieu of a degree.

BASIC REQUIREMENTS:

• At least 2 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 the Compliance Manual, FINRA Rules and Notices to Members, Compliance notices, and other publications concerning broker/dealer regulations.
• Working knowledge of FINRA Rule 4530 and Form U4/U5.
• Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds.
• Must be organized, detail-oriented, investigative and have the ability to handle a high volume of work independently.

PREFERRED REQUIREMENTS:

• Legal, paralegal and/or regulatory experience a plus.
• FINRA Series 7 and 24.
• Insurance license.
• Prior customer complaint handling experience.
  Equal Opportunity Employer
  Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.
  Eligibility
  Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.
  Unqualified Applications
  Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
  Recruiting Agencies
  Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions

• Document and resolve customer complaints in a timely manner.
• Partner with Compliance, Supervision, Legal and Operations resources to ensure proper handling of customer complaints, including investigations and any required filings.
• Work with advisors and supervisors to gather information as part of the complaint investigation and documentation required for the complaint file.
• Work with customers to gather additional information to ensure matters are handled in an objective and fair manner.
• Identify and escalate complaints to senior management as necessary.
• Complete all required filings in accordance with regulatory rules (i.e. 4530(d) and U4/U5 amendment filings) and within the appropriate timeframes.
• Identify and share best practices or process improvements.