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Regulatory Compliance Specialist

Hybrid VP, Advisor Channel Compliance Leader

Job in Scottsdale, Maricopa County, Arizona, 85261, USA
Listing for: Osaic
Full Time position
Listed on 2026-01-12
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist
Salary/Wage Range or Industry Benchmark: 60000 - 80000 USD Yearly USD 60000.00 80000.00 YEAR
Job Description & How to Apply Below
A financial services firm is seeking a VP of Advisors Channel Compliance to lead the investment adviser compliance program. This role entails managing compliance policies, collaborating with management, and educating staff on regulatory requirements. The ideal candidate should possess extensive compliance experience, strong leadership skills, and a valid Series 65/66 license. This is a hybrid position based in Scottsdale, AZ, with a competitive salary and comprehensive benefits package.
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