Osaic ยท 1 month ago
VP, Osaic Advisors Channel Compliance
Oakdale, MN
Full-time
Hybrid
Senior Level
$150K/yr - $190K/yrOsaic is a financial services company seeking a VP of Osaic Advisors Channel Compliance. The role involves overseeing the investment adviser compliance program, collaborating with management, and ensuring adherence to regulations while driving improvements in compliance processes.
Business DevelopmentFinancial ServicesWealth Management
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
Qualification
Required
Minimum of a bachelor's degree is required
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
Preferred
Advanced degree or certifications a plus
Advanced understanding of ERISA as it applies to retail advisory business a plus
Benefits
Health, vision, dental insurance
401k
Paid time away
Volunteer days
And much more
Company
Osaic
Osaic provides the support, resources, and community designed for the future of wealth management.
Founded in 2016
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Jamie Price
Chief Executive Officer
Kristy Britt
CFO
Recent News
Private Banker International
2025-12-30
Company data provided by crunchbase