Supervision Analyst, Electronic Communications ...

Osaic CareersSupervision Opportunity in Financial Services Supervision Analyst, Electronic Communications SupervisionLocation(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339La Vista:12325 Port Grace Blvd, La Vista, NE 68128Oakdale: 7755 3rd St. N, Oakdale, MN 55128Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.Role Type: Full-timeSalary: $55,000 - 59,000 per year + annual bonusActual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page:.Summary: The Supervision Analyst position is an entry-level role within Osaic’s Supervision team, designed to provide foundational experience in regulatory oversight. This role offers structured professional development, including opportunities to pursue industry-recognized licenses such as the FINRA Securities Industry Essentials (SIE), Series 7, and other relevant registrations. These credentials are critical for advancing within supervisory and compliance functions and will be supported through firm-sponsored training and resources.Outlined below are the primary responsibilities associated with this position. Due to the dynamic nature of the regulatory environment and the ongoing evolution of the firm, job duties and specific assignments may change as business needs require.Education Requirements: Associate’s degree from accredited college is preferred. Minimum of high school diploma or equivalent is required.Responsibilities: Review of electronic communications for the financial professionals, including emails, text messages, and Teams messagesIdentify items of concern to be escalated to a Registered Principal for further review and resolutionDevelop and maintain ongoing relationships with team members, internal business partners, and Financial ProfessionalsParticipate in ongoing training to develop proficiency and expertise in supervision systems and ability to identify areas of risk in communicationsProvide 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 inboxBasic Requirements: Minimum 1 year in the financial services industry or 2 years of administrative work experienceStrong professional communication skills to effectively communicate with Financial Professionals and Home Office StaffAbility to effectively handle and prioritize multiple task 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 simultaneouslyMust be able to work in a team environment and support other colleagues as neededPreferred Requirements: FINRA SIE or Series 7 preferredWillingness to pursue additional licensing preferred

Created: 2026-03-06