Sr. Compliance Analyst - IA Surveillance & Testing

Investment Advisory Compliance Opportunity in Financial Services

Sr. Compliance Analyst – IA Surveillance and Testing

Location(s):     All Locations/Remote

Role Type:       Full-Time (Hybrid/Remote)


The Senior Compliance Analyst – IA Surveillance will be involved in a variety of compliance responsibilities, including development and implementation of regular reporting, surveillance reviews and corrective action related to monitoring of Investment Advisory accounts and platforms, under the direction of the Compliance Officer – IA Surveillance and Testing.  This position involves daily interpreting and applying compliance policies and procedures to business practices, communicating with Financial Professionals and other functions of Osaic’s Investment Advisory Compliance team.

An ideal candidate must:

  • Have a thorough understanding of the securities industry.
  • Possess well-developed analytical skills, highly organized with the ability to handle multiple tasks and multiple priorities simultaneously.
  • Work well in a fast-paced and complex collaborative environment.
  • Excellent interpersonal, troubleshooting and communication skills.
  • Proficiency in MS Excel


  • Develop and implement regular reviews, reports and testing of IA accounts and platforms.
  • Provide regular reporting to Financial Professionals and Supervision, including follow-up and guidance.
  • Draft related desktop procedures.
  • Support the existing IA compliance program operating in a collaborative environment with cross-functional teams.
  • Assist with developing the annual Testing Plan and Risk Assessment
  • Assist the other members of the department with incoming field inquiries from the Compliance Hotline and mailboxes relating to Surveillance and Testing
  • Participate in ad-hoc requests, special projects, and regulatory exams.
  • Assist Compliance Officer with training & developing Compliance Analysts
  • All other duties as assigned.

Education Requirements:

  • Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required. 

Basic Requirements:

  • 3-5 years of relevant work experience such as RIA or regulatory agency
  • Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 Securities Act of 1933, Securities Act of 1934 and/or FINRA rules and Regulations.
  • Excellent verbal and written communication skills
  • Must be proficient with MS Office and Word and Excel.  
  • Strong abilities in analytical thinking, problem-solving, research, and time management. Ability to think through complex Compliance issues.
  • Ability to work on assignments independently, using a high level of judgment and initiative in resolving problems and developing recommendations.

Preferred Skills:

  • FINRA Series 7, Series 24, Series 66 (or Series 63 / Series 65) preferred
  • Prior experience with Rule 206(4)7 testing and Investment Advisory Surveillance and Testing
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.