Compliance Surveillance Analyst
Osaic
About this role
Osaic is looking for a Compliance Surveillance Analyst to monitor trading activity and communication, identify potential compliance violations, and support regulatory and internal audits. The role involves working in a fast-paced environment to mitigate risks and ensure regulatory adherence.
Skills
About Osaic
osaic.comOsaic is one of the nation’s largest providers of wealth management solutions and home to a service-driven community of Financial Professionals. The moments our Advisors create with clients inspire us and shape our strategy to empower their success.
Recent company news
Business WireOsaic Welcomes $464 Million Gardner Wallace Financial Solutions Through Advisory Resource Group
2 days ago
Pulse 2.0Osaic: $464 Million Firm Gardner Wallace Financial Solutions Joins
2 days ago
Family Wealth ReportDeals Of The Day: The Latest In Wealth Management M&A – Osaic, Bard
1 week ago
InvestmentNewsOsaic prevails in massive investor lawsuit involving ex-broker facing FINRA inquiry.
1 month ago
Barron'sOsaic Attracts Another Billion-Dollar Team to Its Employee Advisor Unit
1 week ago
About Osaic
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
Leadership Team
Sarah Johnson
Chief Executive Officer
Michael Chen
Chief Technology Officer
Emily Williams
VP of Engineering
David Rodriguez
VP of Product
Jessica Thompson
Chief Financial Officer
Andrew Park
VP of Sales
Unlock Company Insights
View leadership team, funding history,
and employee contacts for Osaic.
Salary
$60k – $70k
per year