Osaic is a company operating in the financial services sector, and they are seeking a Supervision Analyst for their Supervision team. This entry-level role focuses on providing regulatory oversight and developing foundational experience, with opportunities for professional development and industry-recognized licenses.
Responsibilities
- Review of electronic communications for the financial professionals, including emails, text messages, and Teams messages
- Identify items of concern to be escalated to a Registered Principal for further review and resolution
- Develop and maintain ongoing relationships with team members, internal business partners, and Financial Professionals
- Participate in ongoing training to develop proficiency and expertise in supervision systems and ability to identify areas of risk in communications
- Provide extraordinary customer service to Financial Professionals and Home Office staff, handle incoming calls (direct and via a department call queue) and be able to respond to or appropriately escalate emails in share department inbox
Skills
- Minimum of high school diploma or equivalent is required
- Minimum 1 year in the financial services industry or 2 years of administrative work experience
- Strong professional communication skills to effectively communicate with Financial Professionals and Home Office Staff
- Ability to effectively handle and prioritize multiple task 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
- Must be able to work in a team environment and support other colleagues as needed
- FINRA SIE or Series 7 preferred
- Willingness to pursue additional licensing preferred
Benefits
- Health, vision, dental insurance
- 401k
- Paid time away
- Volunteer days
- And much more
Company Overview
Osaic provides the support, resources, and community designed for the future of wealth management. It was founded in 2016, and is headquartered in Phoenix, Arizona, USA, with a workforce of 1001-5000 employees. Its website is https://osaic.com/.
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