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Remote Ria Compliance Jobs in Nebraska (NOW HIRING)

Osaic

Sr Analyst, Hybrid IA Compliance

La Vista, NE · Remote

$90K - $100K/yr

Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $90,000 ... dual RIA affiliation capacity. Additionally, this role will be involved in a variety of other ...

Osaic

Sr Analyst, Hybrid IA Compliance

La Vista, NE · Remote

$90K - $100K/yr

Open to Qualified Remote Applicants in the United States Role Type: Full-time Salary: $90,000 ... dual RIA affiliation capacity. Additionally, this role will be involved in a variety of other ...

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Remote Ria Compliance information

What are the key skills and qualifications needed to thrive as a Remote RIA Compliance professional, and why are they important?

To thrive as a Remote RIA Compliance professional, you need a solid understanding of SEC and FINRA regulations, investment advisory compliance, and a background in finance, often supported by a relevant degree or compliance certifications (such as IACCP). Familiarity with compliance management software, electronic filing systems, and regulatory reporting tools is typically required. Attention to detail, strong analytical thinking, and effective communication are crucial soft skills for identifying risks and ensuring adherence to regulatory standards. These skills and qualifications are vital for protecting firms from legal penalties, maintaining regulatory standards, and building client trust in a remote work environment.

What are the most common compliance challenges faced by Remote RIA Compliance professionals, and how can they be managed effectively?

Remote RIA Compliance professionals often encounter challenges such as staying updated on regulatory changes, ensuring secure handling of sensitive data, and maintaining effective communication with dispersed teams. To manage these issues, it is essential to implement robust cybersecurity protocols, participate in ongoing regulatory training, and use collaboration tools that facilitate clear documentation and reporting. Regular virtual meetings and proactive communication can also help address compliance gaps and foster a culture of transparency within the remote team.

What is a Remote RIA Compliance Officer?

A Remote RIA (Registered Investment Advisor) Compliance Officer is a professional responsible for ensuring that an investment advisory firm adheres to all applicable regulations and industry standards, while working from a remote location. Their duties typically include monitoring firm activities, developing compliance policies, conducting internal audits, and managing regulatory filings. They also train staff on compliance matters and keep the firm updated on changes in laws or regulations. This role is crucial for maintaining the integrity and legal standing of an RIA firm, helping to prevent regulatory issues and protect clients' interests. Remote RIA Compliance Officers often use specialized software to track compliance activities and communicate with their teams.

What is the difference between Remote Ria Compliance vs Remote Ria Operations?

AspectRemote Ria ComplianceRemote Ria Operations
Primary FocusEnsuring regulatory compliance, AML/KYC procedures, and adherence to legal standardsManaging daily business functions, client onboarding, and operational workflows
Required CredentialsCertifications in compliance, AML, or financial regulations often preferredOperational experience, knowledge of payment systems, and client management skills
Work EnvironmentRemote, compliance departments within RIA firms or financial institutionsRemote or office-based, within RIA firms or financial service companies

Remote Ria Compliance focuses on regulatory adherence and legal standards, while Remote Ria Operations handles daily business functions and client management. Both roles are essential in RIA firms, often working closely but with distinct responsibilities.

What are popular job titles related to Remote Ria Compliance jobs in Nebraska? For Remote Ria Compliance jobs in Nebraska, the most frequently searched job titles are:
What job categories do people searching Remote Ria Compliance jobs in Nebraska look for? The top searched job categories for Remote Ria Compliance jobs in Nebraska are:
What cities in Nebraska are hiring for Remote Ria Compliance jobs? Cities in Nebraska with the most Remote Ria Compliance job openings:
Remote Ria Compliance jobs near you

Sr Analyst, Hybrid IA Compliance

Osaic

La Vista, NE • Remote

$90K - $100K/yr

Other

Medical, Dental, Vision, Retirement

Posted 23 days ago

Osaic rating

8.2

Company rating: 8.2 out of 10

Based on 8 frontline employees who took The Breakroom Quiz

Job description

Current Employees and Contractors Apply HereOsaic Careers

REMOTE Senior Analyst for Regulatory Services Opportunity in Financial Services

Senior Analyst, Hybrid IA Compliance

Location(s): Open to Qualified Remote Applicants in the United States

Role Type: Full-time

Salary: $90,000 - $100,000 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:

Senior Analyst, Hybrid IA Compliance will be responsible for providing oversight functions to Financial Professionals that provide investment advisory services to clients through an Independent RIA or that provide investment advisory services in a dual RIA affiliation capacity. Additionally, this role will be involved in a variety of other compliance responsibilities, including development and implementation of regular reporting, surveillance reviews and corrective action related to monitoring of the investment advisory business, under the direction of the Director of IA Compliance Policies, Procedures & Testing. This position involves daily interpreting and applying compliance policies and procedures to business practices, communicating with Financial Professionals and other functions of the Investment Advisory Compliance team.

An ideal candidate must:

  • Have a thorough understanding of the securities industry
  • Possess well-developed analytical skills, highly organized with the ability to handle multiple tasks and multiple priorities simultaneously
  • Work well in a fast-paced and complex collaborative environment
  • Excellent interpersonal, troubleshooting and communication skills
  • Proficiency in MS Excel

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:

  • Supporting the IA Compliance with reviews of the investment advisory services provided to clients through an Independent RIA.
  • Supporting the IA Compliance with reviews of the investment advisory services provided to clients through dually RIA affiliated Financial Professionals.
  • Partnering with Compliance, Supervision, Legal, Operations and other internal business partners to address inquiries and assist with issue resolution.
  • Working with Financial Professionals and Supervision to gather information as part of internal tasks and procedures.
  • Producing various other data capturing tasks and procedures for IA Compliance.
  • Identification and escalation of issues to senior management as necessary.
  • Ensure compliance with Firm and industry regulations.
  • Identify and share best practices or process improvements.

Basic Requirements:

  • 3-5 years of relevant work experience such as RIA or regulatory agency
  • Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 Securities Act of 1933, Securities Act of 1934 and FINRA rules and Regulations
  • Excellent verbal and written communication skills
  • Must be proficient with MS Office and Word and Excel.
  • Strong abilities in analytical thinking, problem-solving, research, and time management. Ability to think through complex Compliance issues.
  • Ability to work on assignments independently, using a high level of judgment and initiative in resolving problems and developing recommendations

Preferred Requirements:

  • FINRA Series 7, 24, 66, or 65.

#LI-Remote

Current Employees and Contractors Apply Here

About Osaic

Sourced by ZipRecruiter

Industry

Finance and insurance

Company size

1,001 - 5,000 Employees

Headquarters location

Phoenix, AZ, US

Year founded

2016

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