Compliance Analyst, Customer Complaints - Scottsdale - Advisor Group

    Advisor Group
    Advisor Group Scottsdale

    1 week ago

    Description
    Current Employees and Contractors Apply Here
    Osaic Careers
    Compliance Opportunity in Financial Services
    Compliance Analyst, Customer Complaints
    Location(s):
    2300 Windy Ridge Parkway, Atlanta, GA 30339
    7755 Third Street North, Oakdale, MN 55128
    877 Executive Center Drive West, St. Petersburg, FL 33702
    12325 Port Grace Boulevard, La Vista, NE 68128
    18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
    Schedule: Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office.
    Role Type: Full time
    Salary: $75,000 - $90,000 per year + annual performance 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:
    Summary:
    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
    Education Requirements:
    • Bachelor's degree preferred. High school diploma in combination with significant practical experience may be considered in lieu of degree.
    Basic 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.
    Preferred Requirements:
    • 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.

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