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