Director, IA Compliance & Disclosures Platform

Advisor Group Inc.; La Vista (NE); Hybrid; USD 150,000 - 160,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time off

Volunteer days

Job summary

Osaic is seeking a Director of IA Compliance Platform Administration, Disclosures & Regulatory Filings to join our team and lead the RIA compliance Analysts. You will own corporate RIA regulatory filings, oversee Form ADV and related compliance activities, and ensure timely, accurate disclosures across the firm.

The role requires a Bachelor’s degree and at least ten years of securities regulatory compliance, with advanced knowledge of the Investment Advisers Act of 1940 and strong leadership.

Qualifications

• Bachelor’s Degree required.
• Ten years of relevant compliance experience in securities.
• Proficiency with Windows programs: Excel, Outlook, Word.
• Excellent oral and written communication skills.
• Ability to lead and influence across departments.

Responsibilities

• Manage team of RIA Compliance Analysts with leadership and support.
• Own corporate RIA regulatory filings, ensuring timely, accurate preparation, review, maintenance, and submission of required filings.
• Oversee Form ADV filings (annual and amendments) and other forms (13F, 13G, 13H, N-PX, CRS).
• Maintain and administer regulatory disclosure governance program.
• Coordinate drafting and ongoing maintenance of Form ADV Part 2A brochures, Wrap Fee Brochures, Form CRS, Reg BI disclosures.
• Ensure consistency across advisory and broker-dealer disclosures, filings, policies, and client communications.
• Monitor regulatory developments and implement timely updates.
• Participate in product due diligence and vendor evaluations.
• Represent the RIA Compliance Department in cross-functional initiatives.
• All other duties as assigned.

Skills

Investment Adviser’s Act of 1940

Leadership/management

Regulatory compliance

Analytical thinking

Office software proficiency

Communication skills

Education

Bachelor’s Degree

Advanced Degree (e.g., JD)

Tools

Windows: Excel, Outlook, Word

Job description

Osaic is seeking a Director of IA Compliance Platform Administration, Disclosures & Regulatory Filings to join our team and lead the RIA compliance Analysts. You will own corporate RIA regulatory filings, oversee Form ADV and related compliance activities, and ensure timely, accurate disclosures across the firm.

The role requires a Bachelor’s degree and at least ten years of securities regulatory compliance, with advanced knowledge of the Investment Advisers Act of 1940 and strong leadership.