VP, Channel Compliance — Advisory & BD Oversight
Job in
Scottsdale, Maricopa County, Arizona, 85261, USA
Listed on 2026-09-01
Listing for:
Advisor Group Inc.
Full Time
position Listed on 2026-09-01
Job specializations:
-
Business
Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below
Osaic is seeking a VP of Advisors Channel Compliance to lead cross‑functional compliance for broker‑dealer and investment adviser activities. The role emphasizes policy design, risk oversight, and regulatory guidance across the Empowered Independence channel.
The ideal candidate will have extensive RIA compliance experience, strong interaction with regulators and leadership, and the ability to implement channel‑specific controls and metrics.
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