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, Suite750, 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: $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.

Summary:

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.

Education Requirements:

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

Responsibilities:

• 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 risks.
• Manage implementation of new investment advisory regulations.
• Advise and educate affiliated financial professionals and employees on investment advisory regulations and policy.
• Provide support and assist with the management of regulatory and audit examination.
• Work with key constituencies to encourage, promote, and enhance a culture that encourages ethical conduct and commitment to compliance.
• Participate and provide regulatory and risk thought leadership on various organizational committees and provide regular updates regarding the IA compliance program to the relevant committees and the Board.

Basic Requirements:

• Strong leadership skills with ability to lead through change and develop high performing teams.
• Extensive Investment Adviser compliance experience.
• Thorough knowledge of the retail investment advisory business as well as investment securities products.
• Demonstrated strong verbal and written communication and interpersonal skills.
• Ability to conform to shifting priorities, demands and timelines through analytical and problem-solving capabilities.
• Proven track-record in decision making, process improvement and compliance technology development.
• Strong leadership skills with a positive track record of developing talent and building a strong, unified and collaborative culture.
• Team, collaborative, and solutions oriented with an ability to actively engage within the business.
• Organized and able to prioritize workload efficiently.
• Proactive, responsive and efficient.
• Resourceful and capable of working autonomously.
• Strong communication skills, both written and verbal.
• Series 65/66 license required or applicable professional designation for IAR registration.
• Sophisticated understanding of SEC rules and regulations and understanding of FINRA rules.
• Advanced understanding of ERISA as it applies to retail advisory business a plus.