Osaic provides the support, resources, and community designed for the future of wealth management.

The Sr. Data Analyst on the Regulatory Relations team is primarily responsible for producing data and reports in support of the Regulatory Relations team, including the collection, combination, analysis and reporting on complex data from a variety of data sources. The data and reports support the greater Regulatory Relations team in supplying information in response to regulatory inquiries. Reports and data must be accurate and provided timely, as deadlines are often set by the regulatory agencies. This role requires a data-minded individual who has experience in writing complex reports and is familiar with the financial services industry, especially as it relates to applicable regulations within the industry.

Responsibilities

• Respond to all regulatory exams requests which includes data analysis and generating reports from all Firm’s production databases primarily using SQL scripts (50%)
• Create ad-hoc statistical reports for Management (10%)
• Analyze and report data trends (20%)
• Assists with special projects, including creating compliance reports based upon deficiencies and/or recommendations from regulatory inquiries (20%)
• All other duties as assigned.

Education Requirements

• Bachelor’s degree is required, preferably in Finance, Business Administration, Computer Science, or another related field.

Basic Requirements

• 5 to 8 years of Financial Services Industry experience required.
• 3 to 5 years of reporting or data analytics experience
• FINRA Series 7 and Series 24 required.
• Proficiency in MS SQL required.
• Proficiency in MS Office and various other business applications
• Strong written and verbal communication skills
• Ability to operate effectively as part of a project team or individually.
• Expert knowledge of financial services industry trends, directions, major issues, regulatory considerations and trendsetters; ability to provide specific financial knowledge and experience.