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Osaic
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  • OAS Technology Support Specialist  

    - Maricopa County
    Current Employees and Contractors Apply Here Osaic Careers Business De... Read More
    Current Employees and Contractors Apply Here Osaic Careers Business Development Support Opportunity in Financial Services Technology Support Specialist Location(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339 La Vista:12325 Port Grace Blvd, La Vista, NE 68128 Oakdale: 7755 3rd St. N, Oakdale, MN 55128 Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255 St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702 Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Role Type: Full time Salary: $50,000 - $57,000 base salary + annual performance bonus Actual 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: https://careers.osaic.com/Creative/Benefits . Summary: The Technology Support Specialist will be responsible for managing and servicing financial advisors affiliated with Osaic Advisory Services (RIA) through personal interaction. Engaged in account setups, user credentialing, portfolio management, and reporting within the Black Diamond, Orion platform, the role will also provide troubleshooting support, manage data feeds, and assist with Salesforce-related account configurations and integrations. This position involves close collaboration with financial advisors, administrative staff, and other key stakeholders to ensure smooth operational processes and high-quality service delivery. Responsibilities: Black Diamond Account Set Up: Manage data feeds, including the mapping of National Financial representative codes/prefixes and DST FANMail credentials. Manually aggregate accounts for advisor offices using BYALL. Submit manual account requests through the Black Diamond Service Channel. Account/Portfolio Servicing: Update account and portfolio display names. Create and maintain portfolios and portfolio groups for batch reporting. Update account and portfolio reporting groups, asset classifications, and security classifications. Consolidate portfolios and close/remove accounts and portfolios as needed. User and Office/Team Credential Set Up: Create Black Diamond credentials for advisors and administrative staff. Send login invitations and provide team setup support, including logo uploads and profile configuration for client views. Add representative codes (Rep Codes/G Numbers) to offices or teams in Black Diamond. Reporting Inquiries: Create reports and respond to data mining template inquiries. Conduct batch reporting on a monthly and annual basis. Manage and organize Black Diamond batch reports, including uploading reports to the Triad Consolidated Reporting Folder. Common Troubleshooting: Resolve issues related to missing data feeds, incorrect performance, missing or incorrect transactions, and account aggregation errors. Troubleshoot user access problems, including password resets and unlocking accounts. Resolve missing accounts from batch reporting or the client portal, and address issues related to the RMD Tool. Salesforce User and Office/Team Set Up: Create and manage user profiles, roles, contact cards, and sharing rules. Set up public groups and activate DocuSign within Salesforce. Provide support for Salesforce navigation and servicing, including password resets, MFA reconnection, workflow management, and Orion/Salesforce integration. 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: Experience with the Black Diamond platform is required. Proficiency in Salesforce, including user and account setup. Strong data management and reporting skills. Excellent troubleshooting and problem-solving abilities. Familiarity with financial account types and RMD regulations. Strong organizational skills and attention to detail. Preferred Requirements: Experience with financial platforms such as Orion. Knowledge of DocuSign setup and activation. Familiarity with compliance reporting and data security protocols. Current Employees and Contractors Apply Here Read Less
  • Relationship Manager  

    - Northampton County
    Current Employees and Contractors Apply Here Osaic Careers Relationshi... Read More
    Current Employees and Contractors Apply Here Osaic Careers Relationship Management Opportunity in Financial Services Relationship Manager Location(s): Bethlehem, PA: 74 West Broad Street, Suite 320 Bethlehem, PA 18018 Wayne, PA: 175 Strafford Avenue, Suite 300 Wayne, PA 19087 Wynnewood, PA: 308 East Lancaster Avenue, Suite 300 Wynnewood, PA 19096 Osaic has returned to the office on a hybrid schedule requiring a minimum of 2 - 5 days weekly in the office. Applicants located must be willing to work this schedule. Osaic is not considering remote candidates at this time. Role Type: Full time Salary: $60,000 - $90,000 per year + annual performance-based bonus Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, 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: Osaic Benefits . Summary: CW Advisors is seeking a Relationship Manager to support Wealth Managers in delivering exceptional service to high-net-worth individuals, families, and institutions. This role plays a key part in managing client relationships, coordinating account administration, and preparing client communications and reports. The ideal candidate is highly organized, collaborative, and committed to delivering a high-touch client experience within a fast- growing wealth management firm. Responsibilities: Provide exceptional client service by responding to client inquiries, troubleshooting issues, and serving as a liaison between clients, Wealth Managers, and internal teams Support Wealth Managers in maintaining strong client relationships and delivering a high-touch client experience Prepare client reports, meeting materials, and presentations for client meetings Coordinate meeting logistics and ensure all required documentation and compliance materials are prepared in advance Manage and maintain accurate client information within internal systems and CRM platforms Prepare, submit, and track client paperwork and account documentation with custodians Assist with the preparation of quarterly statements and client communications Research and respond to service requests received through email, phone calls, or internal tasks from Wealth Managers Coordinate with custodians such as Fidelity and Schwab to support account servicing needs Assist with firm-wide initiatives and projects related to compliance, data integrity, reporting, and billing Collaborate closely with team members within a team-based client service structure Education Requirements: Bachelor's degree is preferred Basic Requirements: 1-3 years of experience in financial services, wealth management, or a client service environment Strong written and verbal communication skills with professional presence Exceptional attention to detail and strong organizational skills Ability to manage multiple priorities in a fast-paced advisory environment Ability to work effectively in a collaborative, team-oriented environment Passion for delivering high-quality, "white-glove" client service Proficiency in Microsoft Office (Word, Excel, PowerPoint, Outlook) and Adobe Acrobat High degree of integrity, discretion, and client-first mindset Proficiency in Microsoft Office; comfort learning financial planning and CRM systems (e.g., Salesforce) Interest in developing a long-term career in wealth management, either within Client Services or on the path to becoming an Advisor Preferred Requirements: Familiarity with CRM systems and financial reporting platforms preferred Experience working with financial custodians such as Fidelity or Schwab preferred Current Employees and Contractors Apply Here Read Less
  • VP, High Net Worth Planning Services  

    - Suffolk County
    Current Employees and Contractors Apply Here Osaic Careers Senior Lead... Read More
    Current Employees and Contractors Apply Here Osaic Careers Senior Leadership/High Net Worth Engagement Opportunity in Financial Services Vice President, High Net Worth Planning Services Role Type: Full time Salary: $165,000 - $180,000 per year + annual bonus Actual 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: https://careers.osaic.com/Creative/Benefits . Summary: The Vice President of High Net Worth (HNW) Planning Services is a strategic leadership role responsible for supporting Osaic Financial Professionals in delivering sophisticated, customized financial planning solutions to HNW and Ultra-HNW clients (net worth $10M+). This individual will lead a team of Senior Financial Planning Specialists to deliver high-quality, financial planning solutions. The VP also serves as a thought leader within the organization, driving innovation and excellence in wealth planning services while contributing to the firm's strategic vision. Responsibilities: Serve as a strategic partner to Osaic advisors, supporting advanced planning for HNW/UHNW clients in areas such as estate and philanthropic planning, business owner strategies, tax optimization, risk management, and investment planning. Lead and develop a high-performing team of Senior Financial Planning Specialists. Collaborate cross-functionally with internal teams and strategic partners to deliver integrated wealth management solutions. Monitor market trends and client feedback to drive service innovation and continuous improvement. Help develop and deliver educational content to advisors on estate, tax, and financial planning topics. Align HNW planning initiatives with firm-wide strategic priorities through collaboration with senior leadership. Represent Osaic as a speaker on financial planning topics at company sponsored advisor forums and industry events. Education Requirements: Bachelor's degree from an accredited university. Basic Requirements: 10+ years of experience in financial services CFP designation or JD required. Proven leadership experience managing financial planning professionals. Extensive experience developing financial plans for HNW individuals or families. Deep expertise in estate, gift, trust, and partnership tax strategies. Advanced planning techniques (e.g., GRATs, QPRTs, FLPs, ILITs, CRTs, CLTs, Private Foundations, GST strategies). Executive compensation planning (e.g., NQSOs, ISOs, RSUs). Strong intellectual and interpersonal skills with the ability to influence advisors and senior leaders. Ability to integrate market, legislative, and regulatory developments into planning strategies. Demonstrated success in a fast-paced, results-driven environment. Preferred Requirements: Proficiency with financial planning software (e.g., eMoney) Experience with family office structures, private trust companies, and entity governance CPA or LLM designation. #LI-Remote Current Employees and Contractors Apply Here Read Less
  • VP Business Development - Empowered Wealth Channel  

    - Washington County
    Current Employees and Contractors Apply Here Osaic Careers Business De... Read More
    Current Employees and Contractors Apply Here Osaic Careers Business Development Opportunity in Financial Services VP Business Development - Empowered Wealth Channel Location(s): 2300 Windy Ridge Parkway, Atlanta, GA 30339 7755 Third Street North, Oakdale, MN 55128 877 Executive Center Drive West, St. Petersburg, FL 33702 12325 Port Grace Boulevard, La Vista, NE 68128 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255 Schedule: Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Non-remoteemployees must be willing to work this schedule. Given the regional and travel requirements for this position, Osaic is open toremoteapplicants for this position. Role Type: Full time Salary: $100,000 - $125,000 per year + sales incentive compensation, paid quarterly. Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and education. Our competitive salaries are just one component of Osaic's total compensation package. Additional benefits include: health, vision, dental insurance, 401k, vacation and sick time, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits Summary: At Osaic, our Business Development team plays the integral role of driving organic growth for the company. We're seeking a qualified VP of Business Development to help us increase the number of our new financial advisor affiliations and meet and exceed our recruitment goals. The VP of Business Development will have a strong understanding of the sales process, excelling at building relationships and closing deals. The ideal candidate will possess a strong competitive spirit, the ability to showcase our wealth management solutions in a compelling way and be a quick learner with strong negotiating skills. Responsibilities: Represent Osaic's Empowered Wealth Channel, starting with a deep understanding of our Wealth Management suite of solutions, and following with research and observation to see how the solutions meet the needs of potential financial advisors/enterprises. Meet quarterly and annual sales goals through the successful implementation of consultative selling tactics. Nurture new leads and build relationships with qualified Financial Advisors and Enterprises and actively manage a sales pipeline through execution of the sales process. Develop and implement a channel specific action plan through analysis, prospect research, and goal setting. Daily, conduct research and prospecting activities, set discovery meetings, run home office visits and other virtual presentations, work with internal team members to oversee due diligence actions, negotiate deals, and close new business. Use a mixture of consultative selling skills and company and industry knowledge to become a trusted advisor to prospects and answer questions. Actively develop relationships with product sponsors, wholesalers, and other centers of influence to expand your pool of prospects. Work across the Osaic to develop relationships with internal stakeholders and partners to drive efficient and effective processes and a five-star prospect experience. Actively use Salesforce to track activities, manage leads, develop new opportunities, and build strong pipelines. Work closely with Business Development team members and management to foster peer-to-peer best practice sharing and coaching. Other duties as assigned Education Requirements: Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required. Basic Requirements: Minimum 10+ years of experience in the financial services industry Track record of successful sales/recruiting in the financial industry Ability to influence high-level decision makers Thorough knowledge of wealth management products and operations Strong understanding of the financial services industry Sales and marketing experience with financial and analytical acumen Knowledge of Microsoft Office Suite (Word, PowerPoint, Excel, Outlook) and CRM's; ability to learn and demonstrate proprietary systems Strong focus on customer service Ability to stay organized and balance and prioritize multiple priorities Strong public speaking skills Ability to work across teams to achieve goals Strong oral and written communication skills Decision-making, particularly in a high-growth and risk-charged environment Ability to travel up to 25% of the time. Preferred Requirements: FINRA Series 7, 24, and 65 /66 preferred Life/Health insurance license Project management skills Current Employees and Contractors Apply Here Read Less
  • Compliance Analyst  

    Current Employees and Contractors Apply Here Osaic Careers Compliance... Read More
    Current Employees and Contractors Apply Here Osaic Careers Compliance Risk Opportunity in Financial Services Compliance Analyst Location(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339 La Vista: 12325 Port Grace Blvd, La Vista, NE 68128 Oakdale: 7755 3rd St. N, Oakdale, MN 55128 Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255 St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702 Osaic is not considering remote candidates at this time. Osaic 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-time Salary: $55,000 - $63,000 per year + annual bonus Actual 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: https://careers.osaic.com/Creative/Benefits . Summary: The Compliance Analyst plays a critical role in safeguarding the integrity of Osaic's financial services operations by monitoring advisor activity and identifying potential compliance risks. This position is responsible for conducting detailed reviews of financial professionals' books of business, analyzing trade data, and detecting patterns that may indicate regulatory or policy concerns. The analyst will collaborate closely with Internal Supervision, Compliance, and Senior Management to deliver actionable insights and ensure adherence to industry standards and firm policies. This role requires strong analytical skills, attention to detail, and the ability to interpret complex regulatory requirements. The Compliance Analyst will also contribute to the development of surveillance procedures, lead special projects, and serve as a subject matter expert for system testing and quality assurance initiatives. 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. Responsibilities: Reviews financial professionals' book of business for common risks and regulatory issues. Creates representative summaries detailing negative trends including high rates of variable annuity replacements, mutual fund B-share and C-share concerns, high rates of mutual fund switching, alternative investment liquidity issues, etc. Delivers trend summaries to Internal Supervision, Compliance and Senior Management teams for review and follow up. Assist Surveillance manager in the creation and editing of Surveillance procedures Lead additional projects and regulatory requests and necessary. Conducts Quality Assurance of analyst deliverables for financial professional profiles and Activity Based Reviews. SME for all Surveillance report IT/QA/UAT testing Train new/current Compliance Analysts Basic Requirements: Three to five years of experience in the financial securities industry is required. Must be proficient with MS Office and Word. Proficiency with MS Excel is a must. Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds is required. (Additional knowledge in variable annuities and mutual funds strongly preferred.) Ability to analyze large amounts of trade data and to think through complex Compliance issues. Must be detail-oriented, investigative and have the ability to handle a high volume of work independently. Ability to interpret Compliance Policies and Procedures, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation Effective communication skills, both written and verbal. FINRA Series 7 required. Preferred Requirements: Insurance license preferred 2+ years' regulatory experience is preferred. Experience at an independent broker-dealer is preferred FINRA Series 24 preferred. Current Employees and Contractors Apply Here Read Less
  • Current Employees and Contractors Apply Here Osaic Careers Senior Lead... Read More
    Current Employees and Contractors Apply Here Osaic Careers Senior Leadership/High Net Worth Engagement Opportunity in Financial Services Vice President, High Net Worth Planning Services Role Type: Full time Salary: $165,000 - $180,000 per year + annual bonus Actual 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: https://careers.osaic.com/Creative/Benefits . Summary: The Vice President of High Net Worth (HNW) Planning Services is a strategic leadership role responsible for supporting Osaic Financial Professionals in delivering sophisticated, customized financial planning solutions to HNW and Ultra-HNW clients (net worth $10M+). This individual will lead a team of Senior Financial Planning Specialists to deliver high-quality, financial planning solutions. The VP also serves as a thought leader within the organization, driving innovation and excellence in wealth planning services while contributing to the firm's strategic vision. Responsibilities: Serve as a strategic partner to Osaic advisors, supporting advanced planning for HNW/UHNW clients in areas such as estate and philanthropic planning, business owner strategies, tax optimization, risk management, and investment planning. Lead and develop a high-performing team of Senior Financial Planning Specialists. Collaborate cross-functionally with internal teams and strategic partners to deliver integrated wealth management solutions. Monitor market trends and client feedback to drive service innovation and continuous improvement. Help develop and deliver educational content to advisors on estate, tax, and financial planning topics. Align HNW planning initiatives with firm-wide strategic priorities through collaboration with senior leadership. Represent Osaic as a speaker on financial planning topics at company sponsored advisor forums and industry events. Education Requirements: Bachelor's degree from an accredited university. Basic Requirements: 10+ years of experience in financial services CFP designation or JD required. Proven leadership experience managing financial planning professionals. Extensive experience developing financial plans for HNW individuals or families. Deep expertise in estate, gift, trust, and partnership tax strategies. Advanced planning techniques (e.g., GRATs, QPRTs, FLPs, ILITs, CRTs, CLTs, Private Foundations, GST strategies). Executive compensation planning (e.g., NQSOs, ISOs, RSUs). Strong intellectual and interpersonal skills with the ability to influence advisors and senior leaders. Ability to integrate market, legislative, and regulatory developments into planning strategies. Demonstrated success in a fast-paced, results-driven environment. Preferred Requirements: Proficiency with financial planning software (e.g., eMoney) Experience with family office structures, private trust companies, and entity governance CPA or LLM designation. #LI-Remote Current Employees and Contractors Apply Here Read Less
  • Field Supervision Director - Multi Custody Channel  

    - Maricopa County
    Current Employees and Contractors Apply Here Osaic Careers Field Super... Read More
    Current Employees and Contractors Apply Here Osaic Careers Field Supervision Director Opportunity in Financial Services Field Supervision Director - Multi Custody Channel Location(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339 La Vista:12325 Port Grace Blvd, La Vista, NE 68128 Oakdale: 7755 3rd St. N, Oakdale, MN 55128 Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255 St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702 Osaic 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-time Salary: $80,000 - $86,000 per year + annual bonus Actual 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: Osaic Benefits . Summary: The Multi-Custody Channel Field Supervision Director provides direct supervision leadership and support as the named First Line Supervisor (FLS) for a designated region of financial advisors. In this capacity, the role conducts centralized supervisory reviews as a core function of the Field Supervision department, ensuring compliance with firm policies, regulatory standards (including FINRA and SEC requirements), and best practices for advisor activities. The ideal candidate will perform daily supervisory functions under the coordination and delegation of department leadership, while proactively embracing and leading change initiatives as Osaic continues to grow, integrate operations, and evolve in a dynamic wealth management environment. This includes assuming delegated First Line Supervisor responsibilities to support regional advisor oversight, performance guidance, risk management, and team alignment. The following is an overview of the functions that will be performed by the Field Supervision Director. However, due to an ever-changing regulatory environment in which we operate and the growth and evolution of the firm, flexibility is required as details of the work assignments may change over time. Education Requirements: Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required. Responsibilities: Embrace a dynamic environment where challenges will require flexibility and new ideas. Provides support to direct leadership by assuming delegated FLS (First Line Supervisor) responsibilities and providing other supervisory assistance as required. Handle Escalated matters as the designated point of contact for their region, including resolution of surveillance alerts, compliance referrals, and other supervisory issues elevated from advisors or internal teams, ensuring timely and appropriate corrective actions in alignment with firm policies and regulatory standards. Conduct Supervisory Office Visits of OSJ branches, performing on-site or virtual reviews to assess compliance, risk management, business practices, and adherence to firm guidelines. Serve as a Subject Matter Expert (SME) and trainer, providing guidance, expertise, and formal training to financial advisors and branch personnel on supervisory procedures, regulatory requirements, compliance best practices, and policy updates. Monitors, reports, and enforces internal controls to ensure compliance with industry standards and the firm's policies and procedures. Develops and maintains strong rapport with the field as well as internal partners. Identify suspicious patterns of practice. Conduct investigations based on findings that violate policy and take appropriate corrective action as needed in collaboration with leadership. Assist in coordinating and enforcing Heightened Supervision of Branch offices as needed. Work on delegated and collaborative projects with Field Supervision Leadership, Advisor Support, Legal and Compliance. Work with various engagement models to ensure the Supervision support is providing consistent, accurate and timely service. Basic Requirements: 5+ years of financial industry experience. 2+ years of related experience. FINRA Series 7, 24, 66 (or 63 / 65) are required. Required technical strength to work within the firm's technology and Microsoft office tools. Strong understanding of relevant FINRA and SEC rules and regulations including 3110, 40 ACT, Reg BI and DOL PTE. Thorough knowledge of securities products (i.e., mutual funds, variable annuities, alternative investments, and individual securities), compliance requirements, and the broker dealer and investment advisor industry. Ability to effectively handle and prioritize multiple tasks in a fast-paced team environment to meet defined deadlines. Team player who possesses great initiative, flexibility, excellent judgment and knows how to provide indispensable service. Occasional business travel as needed. Preferred Requirements: FINRA Series 4 Read Less
  • Senior Regulatory Data Analyst  

    - Fulton County
    Current Employees and Contractors Apply Here Osaic Careers Regulatory... Read More
    Current Employees and Contractors Apply Here Osaic Careers Regulatory Data Opportunity in Financial Services Senior Regulatory Data Analyst Location(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339 La Vista:12325 Port Grace Blvd, La Vista, NE 68128 Oakdale: 7755 3rd St. N, Oakdale, MN 55128 Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255 St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702 Osaic is not considering remote candidates at this time. Osaic 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-time Salary: $85,000 - $100,000 per year + annual performance bonus Actual 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: https://careers.osaic.com/Creative/Benefits . Summary: Osaic is seeking a Senior Regulatory Analyst to join the Regulatory Relations team. This role is responsible for producing highquality data and reports that support both Regulatory Relations and Legal. Key duties include collecting, integrating, analyzing, and reporting on complex data from multiple sources. Deliverables must be accurate and timely, as deadlines are frequently driven by regulatory agencies. The position requires a datafocused professional with experience preparing complex reports and a strong understanding of the financial services industry and its regulatory requirements. Education Requirements: Bachelor's Degree from accredited university in Finance, Business Administration, Computer Science or similar degree is required Responsibilities: Respond to all regulatory examination requests by performing detailed data analysis and generating comprehensive reports using the firm's production systems Develop adhoc statistical analyses and reports to support Legal and Regulatory initiatives Analyze and report data trends Assist with special projects, including producing compliance reports derived from noted deficiencies and recommendations from legal and regulatory reviews Design, produce, and maintain standard reporting packages commonly requested during regulatory reviews. Basic Requirements: FINRA Series 7 Ability to evaluate activities, reports, and manuals to determine compliance with regulatory guidelines Collaborate with the Legal and Regulatory Relations teams to gather required data and prepare responses to legal and regulatory inquiries Experience in MS SQL Server is required Proficiency in MS Office and various other business applications Experience in working on Snowflake cloud-based data platform Experience using reporting and analytics tools such as Power BI and Microsoft Excel to develop dashboards, automate reports, and support datadriven decisionmaking. 5+ years of reporting or data analytics Experience in Financial Services Preferred Requirements: Strong written and verbal communication skills Ability to operate effectively as part of a project team or individually Series 24 (or S8 or S9/10) Current Employees and Contractors Apply Here Read Less
  • Advisor Compensation Service Representative  

    - Fulton County
    Current Employees and Contractors Apply Here Osaic Careers Customer Se... Read More
    Current Employees and Contractors Apply Here Osaic Careers Customer Service Opportunity in Financial Services Advisor Compensation Service Representative Location(s): Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339 La Vista:12325 Port Grace Blvd, La Vista, NE 68128 Oakdale: 7755 3rd St. N, Oakdale, MN 55128 Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255 St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702 Role Type: Full-time, Non-Exempt Salary: $43,000-$45,000 per year + annual performance-based bonus Actual 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: Osaic Benefits . Summary: As a member of our Commissions Service team, you will support our advisors and your team members in all aspects of commissions, customer service, and processing. You will collaborate with direct team members and team members throughout the organization. We are looking for a driven and motivated individual to join our Commissions Service team. A successful candidate will be able to learn quickly, retain knowledge, multi-task, and have a strong customer service focus. Education Requirements: Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree. A minimum high school diploma or equivalent is required. Responsibilities: Independently handle simple and complex customer service telephone calls, email, and Service Net requests from Advisors regarding commission payments. Create a strong working relationship with Advisors and their assistants. Educates advisors on where to find online information. Leads or participates with the team in identifying and resolving commission issues. Handles research tasks and error resolution and communicates with other BD departments and outside product sponsors to resolve problems. Meet the quality and production goals. May occasionally be called upon to process commission transactions from third-party entities. All other duties as assigned Basic Requirements: 1 - 2 Years of Customer Service experience Must be proficient in the following: Microsoft Excel, Word, Outlook, and Teams. Good written and verbal communication skills Able to maintain confidentiality Able to learn new systems and processes and retain knowledge Team Player Attention to detail Organizational Skills Able to multitask Preferred Requirements: 2 - 3 Years of Customer Service experience Advanced skills in Microsoft Excel. Commission experience or broker/dealer experience preferred Current Employees and Contractors Apply Here Read Less
  • Director of Product Management, Digital Solutions  

    - Maricopa County
    Current Employees and Contractors Apply Here Osaic Careers Opportunity... Read More
    Current Employees and Contractors Apply Here Osaic Careers Opportunity in Financial Services Director of Product Management for Manage Practice - Digital Solutions Location(s): Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255 Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339 La Vista:12325 Port Grace Blvd, La Vista, NE 68128 Oakdale: 7755 3rd St. N, Oakdale, MN 55128 St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702 Osaic 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-time, Exempt Salary : $ 160 ,000- $ 190,000 per year + annual performance-based bonus Actual 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: Osaic Benefits . Summary: Osaic is redefining digital experiences for financial professionals, building platforms that help advisors, their teams, and their clients thrive in a rapidly evolving market. As Director of Product Management, Digital Solutions, you will lead product strategy across multiple digital platforms, shaping how Osaic discovers, builds, and scales industry-leading solutions. In this role, you will operate at a strategic and organizational level, guiding product vision, discovery standards, and delivery practices while mentoring senior product leaders. You will own the evolution for Osaic's native applications and third-part y UX integration s that drive how advisors r un the ir daily operation s , including the Osaic Advisor Portal . Additionally, you will own the advisor experiences for obtain ing support, on-board ing , and succession planning. You will partner closely with design, engineering, and business leadership to ensure product investments align with long-term growth, platform health, and customer impact. We are seeking a forward-looking product leader who thrives in complexity, influences across the organization, and embraces modern product practices - including rapid experimentation, prototyping, and AI-assisted discovery - to accelerate learning and reduce risk. At Osaic, you'll have the opportunity to shape the future of digital financial services at scale . Education Requirements: Master's degree preferred. Minimum of bachelor's degree is required . Responsibilities: Lead product vision, strategy, and roadmaps across multiple digital platforms , ensuring alignment with business objectives , customer needs, and long-term market positioning. Establish and standardize product discovery practices , including customer research, rapid experimentation, prototyping, and AI-assisted workflows to validate ideas before significant engineering investment. Translate complex market, customer , and business challenges into clear strategic initiatives, prioritized roadmaps, and outcome-oriented goals. Mentor and develop Senior Product Managers , fostering strong product judgment, accountability, and consistent product craft across teams. Partner closely with design, engineering , and business leaders to evolve validated concepts into scalable, production-ready solutions while preserving engineering ownership of implementation. Oversee the end-to-end product lifecycle across multiple initiatives , balancing speed, quality, platform sustainability, and long-term scalability. Define and monitor success metrics , leveraging qualitative and quantitative data to guide prioritization, measure impact, and drive continuous improvement. Communicate product strategy, progress, and outcomes to senior leadership and executives using clear narratives, data, and visual artifacts to influence decision-making. Drive alignment on strategic trade-offs , managing scope, investment, sequencing, and customer impact across competing priorities. Stay current on industry trends and emerging technologies , including AI-enabled product practices, to continuously evolve Osaic's digital capabilities and customer experience. All other duties as assigned . Basic Requirements: 10+ years of product management experience , including leadership across multiple products, platforms, or domains, with demonstrated ownership of product strategy, discovery, and delivery in complex or fast-paced environments. Proven track record of driving product strategy and outcomes , translating ambiguity into clear direction, scalable solutions, and measurable business impact. Strong experience with modern product discovery practices , including rapid prototyping, experimentation, and AI-assisted discovery to accelerate learning and alignment - not to replace engineering, but to reduce risk and improve outcomes. Exceptional strategic thinking and analytical skills , with the ability to synthesize qualitative and quantitative insights and influence senior leadership decisions. Excellent communication and executive storytelling skills , including experience presenting product vision, trade-offs, and outcomes to executive and C-level stakeholders. Demonstrated ability to lead, mentor, and develop senior product managers and cross-functional teams , fostering a culture of strong product thinking and accountability. Preferred Requirements: Financial services industry experience , particularly with independent broker/dealers, RIAs, or advisor-facing digital platforms. Strong technical fluency , enabling effective collaboration with engineering teams on feasibility, architecture trade-offs, and sequencing (without owning production code). Experience defining organizational product standards , including discovery practices, experimentation, and modern product management operating models. Comfort operating with high autonomy and accountability , exercising judgment in ambiguous, high-impact problem spaces. Servant leadership mindset , providing guidance and clarity while offering thought leadership within the product domain. Current Employees and Contractors Apply Here Read Less

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