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© All Rights Reserved. ApplyBlast.com
Osaic
A Senior Surveillance Analyst at Osaic reviews financial professionals' activities for regulatory risks and compliance issues within the securities industry. The role involves creating trend summaries, assisting in developing surveillance procedures, conducting quality assurance, and training team members. This position requires strong analytical skills, proficiency with MS Excel, and knowledge of retail brokerage products and FINRA regulations.
Headquarters
Scottsdale, Arizona, United States
Company Size
1001-5000 employees
Founded
2016
Osaic 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.
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
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
View leadership team, funding history,
and employee contacts for Osaic.
17% below the average for this role
Barron'sOsaic Attracts Another Billion-Dollar Team to Its Employee Advisor Unit
2 weeks ago
