Senior Data Analyst, Regulatory Relations

Regulatory Relations Compliance Opportunity in Financial Services

Sr. Data Analyst, Regulatory Relations

Location:   Accepting qualified candidates in all locations & remote (within United States)

Type: Full Time


The Sr. Data Analyst on the Regulatory Relations team is primarily responsible for producing data and reports in support of the Regulatory Relations team, including the collection, combination, analysis and reporting on complex data from a variety of data sources.  The data and reports support the greater Regulatory Relations team in supplying information in response to regulatory inquiries.  Reports and data must be accurate and provided timely, as deadlines are often set by the regulatory agencies. This role requires a data-minded individual who has experience in writing complex reports and is familiar with the financial services industry, especially as it relates to applicable regulations within the industry.


  • Respond to all regulatory exams requests which includes data analysis and generating reports from all Firm’s production databases primarily using SQL scripts (50%)
  • Create ad-hoc statistical reports for Management (10%)
  • Analyze and report data trends (20%)
  • Assists with special projects, including creating compliance reports based upon deficiencies and/or recommendations from regulatory inquiries (20%)
  • All other duties as assigned.

Education Requirements:

  • Bachelor’s degree is required, preferably in Finance, Business Administration, Computer Science, or another related field. 

Basic Requirements:

  • 5 to 8 years of Financial Services Industry experience required
  • 3 to 5 years of reporting or data analytics experience
  • FINRA Series 7 and Series 24 required
  • Proficiency in MS SQL required
  • Proficiency in MS Office and various other business applications
  • Strong written and verbal communication skills
  • Ability to operate effectively as part of a project team or individually
  • Expert knowledge of financial services industry trends, directions, major issues, regulatory considerations and trendsetters; ability to provide specific financial knowledge and experience.


Equal Opportunity Employer

Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.


Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.

Unqualified Applications

Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Recruiting Agencies

Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.