Compliance Analyst, Customer Complaints

Compliance Opportunity in Financial Services

Compliance Analyst, Customer Complaints

Location: Atlanta (Open to qualified remote applicants across United States).

Type: Full Time

Salary: $60,000 - $70,000 per year + annual bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and education.

Our competitive salaries are just one component of Osaic’s total compensation package. Additional benefits include: health, vision, dental insurance, 401k, vacation and sick time, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits

Summary:

Imagine the excitement of working for a billion-dollar startup company with a strong revenue flow and a client base that goes back 60+ years. Our employees are the “how” and the “why” of Osaic’s success. 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.

Responsibilities:

• Document receipt and resolve Customer Complaints in a timely manner.
• Partner with Compliance, Supervision, Legal and Operations resources to ensure proper handling of complaint, 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 assure 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.
• All other duties as assigned.

Education Requirements:

• Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Basic Requirements:

• At least 2 years of experience in a similar capacity.
• Strong verbal and written communication skills are required.
• Ability to interpret the Sales Practice Manual, FINRA Rules and Notices to Members, Compliance notices, and other publications concerning broker/dealer regulations.
• Must be proficient with MS Office and Word.
• Working knowledge of FINRA Rule 4530 and Form U4/U5 is a plus.
• Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds. (Strength in variable annuities and mutual funds strongly preferred.)
• Must be detail-oriented and 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 preferred.
• Insurance license preferred.
• Prior customer complaint handling experience preferred.

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.

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.

Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.