VP, Osaic Advisors Channel Compliance

Compliance Leadership Opportunity in Financial Services VP, Osaic Advisors Channel Compliance Location(s)

Atlanta: 2300 Windy Ridge Pkwy SE, Suite
750, 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 must be willing to work on this schedule.

Full-Time

$150,000 - $190,000 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:

The VP of Osaic Advisors Channel Compliance will be responsible for all aspects of the investment adviser compliance program within Osaic’s supported independence channel. The VP will report to Osaic’s SVP of RIA Compliance with a dual reporting line to the Head of Osaic Advisors Channel. Responsibilities include collaboration with the Osaic Advisors Channel management team, compliance policy design and implementation, compliance training, surveillance, regulatory examinations, management of strategic projects, and advising Osaic personnel regarding applicable rules, regulations and compliance policies.

The ideal candidate will have (1) a successful RIA compliance track record, (2) demonstrated an ability to implement technology solutions to support an RIA model, (3) significant experience interacting with regulators and organizational leadership, (4) broad experience with the regulation of investment advisors, (5) a proven ability to lead, design and implement core areas of a best-in-class advisory compliance program, (6) develop program level metrics and executive reporting to relevant committees and the Board, and (7) familiarity with industry trends and leading advisory compliance technology.

A successful candidate for this position will (i) have a solid ethical core, and set the bar for conducting themselves to the highest ethical standards; (ii) be a self-motivated, high performing and persistent individual who will be able to manage pressure; (iii) apply a creative and commercial mind in their approach to resolving compliance and risk issues; (iv) relate and work well with others in a changing and dynamic environment;

and (v) develop internal talent.

• Minimum of a bachelor’s degree is required, advanced degree or certifications a plus.

• Responsible for supporting the 206(4)-7 compliance program, developing and administering investment advisory policies and procedures, updating and delivering required regulatory documents (Form ADV, CRS), and completing required regulatory filings (Form ADV, 13F, 13G).
• Develop, implement, and evolve advisory policies and procedures, surveillance and testing, compliance program administration, and product and platform compliance.
• Advise, collaborate and educate with executive and management teams on applicable law and regulations in relation to strategic business initiatives.
• Identify and advise on key risks specific to the Osaic Advisors Channel.
• Drive continuous improvement to modernize the compliance experience for financial professionals and employees by implementation of more efficient processes, policies and procedures enhancements, automation of compliance functions, implementation of technology solutions, and leading change management initiatives.
• Keep informed of industry changes, trends and best practices, and assess the potential impact on policies, procedures and systems to ensure that they are designed to comply with applicable laws and regulations.
• Evaluate and advise executive and management teams of potential new regulatory and business…