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.ResponsibilitiesMonitoring and tracking of various Financial Professional supervision and compliance requirements including blotter resolution, aged supervisory alerts, supervisory logs and surveillance escalationsAssists internal and external business partners with the gathering and reporting of information from various supervision systemsDevelops and maintains relationships with team members, internal business partners and Financial ProfessionalsWorks to identify red flag items to be escalated to managementWorks with team members to address sales practice concerns, including training, or issuance of disciplinary lettersProvides extraordinary customer service to Financial Professionals and Home Office Staff, handle incoming calls (direct and via a department call queue) and respond to questionsIdentify and route department work items in Salesforce and shared department email boxSkillsMinimum 1 year in the financial services industryMinimum 2 years of administrative work in a high paced environmentStrong professional communication skills to effectively communicate with advisors and home office staffAbility to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlinesStrong analytical and problem-solving skillsProven experience using MS Word and Excel as well as an aptitude to use new software as requiredKnowledge of relevant FINRA and SEC rules and regulationsAbility to navigate multiple computer programs simultaneouslyMinimum of high school diploma or equivalent is requiredFINRA Series 6, Series 7 or Series 99 preferredFINRA SIE preferredFamiliarity with MS Access, Outlook Scheduling a plusBenefitsHealth, vision, dental insurance401kPaid time awayVolunteer daysAnd much moreCompany OverviewOsaic 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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