Field Supervision Analyst I

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