Supervision Analyst, Electronic Communications Supervision

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