VP, Osaic Advisors Channel Compliance

Osaic Careers 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.

Schedule:

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.

Role Type:
Full-Time

Salary: $170,000 - $200,000 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.

• health insurance
• vision insurance
• 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 support both broker‑dealer and investment adviser compliance program requirements within Osaic’s Empowered Independence Channel. While the role will include both BD and IA compliance considerations, the channel’s business is primarily advisory in nature through Osaic’s Corporate RIA firms, including fee‑only advisory models. The VP will report to Osaic’s SVP of IA Compliance and will work closely and collaboratively with channel leadership and compliance partners to enhance channel‑specific policy and procedure design, compliance training, surveillance coordination, due diligence and oversight processes, regulatory examination support, management of strategic projects, and advising Osaic personnel regarding applicable rules, regulations and compliance policies, with a focus on applying appropriate controls to advisory‑heavy businesses.

The ideal candidate will have (1) a successful RIA compliance track record, with meaningful broker‑dealer compliance exposure; (2) demonstrated experience supporting advisory business across a multi‑custodial platform; (3) experience in the employee‑advisor RIA model, including due diligence processes and compliance oversight; (4) the ability to design and mature a compliance program that appropriately distinguishes between employee and independent contractor business models;

(5) significant experience interacting with regulators and organizational leadership; (6) broad experience with the regulation of investment advisers and familiarity with applicable FINRA requirements; (7) a proven ability to design and implement channel‑specific compliance controls, escalation paths, operating procedures and oversight routines; (8) the ability to develop program‑level metrics and executive reporting for management and governance forums; and (9) 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.

• Support channel‑specific compliance requirements for Empowered Independence across both investment adviser and broker‑dealer activities, including coordination with IA Compliance and BD Compliance teams that retain responsibility for the core advisory and broker‑dealer compliance programs, regulatory documents and regulatory filings.
• Develop, implement, and evolve channel‑specific advisory and broker‑dealer policies and procedures, surveillance coordination, due diligence and oversight processes, and product and platform compliance for…