Senior Compliance Analyst – Investment Advisory

Osaic

. Provide guidance and support regarding investment advisory compliance requirements, policies, procedures, and administrative processes .

Posted 10/22/2026full-timeUnited StatesSenior💰 $85,000 - $95,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in investment advisory compliance, including knowledge of relevant regulations and the ability to analyze compliance issues. Proficient in communication and organizational skills to support financial advisors and internal departments effectively.

Highest-signal resume keywords

Investment Advisers Act Of 1940Investment Company Act Of 1940Securities Act Of 1933FINRA Series 7FINRA Series 24

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance RequirementsRegulatory ProceduresForm ADV Part 2BAnalytical SkillsProblem-Solving Skills

Soft Skills

Written CommunicationVerbal CommunicationOrganizational SkillsTime-Management Skills

Tools & Technologies

Microsoft OfficeWordExcelPowerPointOutlook

Certifications & Qualifications

Series 65Series 66

Industry Keywords

Investment AdviserBroker-DealerFinancial ServicesCompliance GapsService Standards

About the role

Key responsibilities & impact

Provide guidance and support regarding investment advisory compliance requirements, policies, procedures, and administrative processes
Respond to emails and telephone inquiries from financial advisors, advisor support staff, and internal departments regarding investment advisory compliance matters
Support the onboarding and ongoing maintenance of Investment Adviser Representatives (IARs), including Form ADV Part 2B brochure supplements
Partner with Compliance, Operations, Supervision, Legal, and other internal departments to resolve advisor inquiries and support business initiatives
Monitor assigned workflows and ensure tasks are completed accurately and within established service standards
Identify and recommend updates to desktop procedures to address compliance gaps and improve adherence to regulatory and firm requirements
Participate in ad hoc requests and special projects
Perform all other duties as assigned

Requirements

What you’ll need

Minimum of high school diploma or equivalent is required
At least three years of relevant experience with a registered investment adviser, broker-dealer, regulatory agency, or comparable financial services organization
Working knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, and Securities Act of 1933
Excellent written and verbal communication skills
Proficiency with Microsoft Office applications, including Word, Excel, PowerPoint, and Outlook
Strong analytical, problem-solving, research, organizational, and time-management skills
Ability to analyze complex compliance issues and develop practical, well-reasoned recommendations
Ability to work independently, exercise sound judgment, take initiative, and manage multiple priorities
FINRA Series 7 and Series 24 registrations, plus either the Series 65 or Series 66 (preferred)
Five or more years of relevant experience (preferred)

Benefits

Comp & perks

Health insurance
Vision insurance
Dental insurance
401k
Paid time away
Volunteer days