RIA Compliance Lead: Risk, Policy & Testing
Job in
Phoenix, Maricopa County, Arizona, 85003, USA
Listed on 2026-07-13
Listing for:
Jobtailor
Full Time
position Listed on 2026-07-13
Job specializations:
-
Business
Risk Manager/Analyst, Financial Compliance, Regulatory Compliance Specialist
Job Description & How to Apply Below
Osaic seeks an experienced AG Compliance professional to monitor laws and oversee the RIA Compliance Program, ensuring policies and controls remain robust.
You will coordinate with Legal, Supervision, Operations, Risk and Internal Audit to ensure comprehensive coverage and timely remediation of issues.
Required:
FINRA Series 66/65 and 5+ years in financial institutions, with strong communication and project management skills.
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