Director, IA Compliance & Filings Platform (Hybrid)

Osaic; 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 away

Volunteer days

Job summary

Osaic is seeking a Director of IA Compliance Platform Administration, Disclosures & Regulatory Filings to join our team as a senior leader. The role oversees the RIA compliance platform administration, disclosures, and regulatory filings, demanding a decade of experience in securities compliance and strong leadership within broker-dealer and investment advisory settings.

The position requires guiding a team, managing Form ADV and related filings, and maintaining governance programs.

Qualifications

• Expertise in Investment Advisers Act of 1940 and related regulations.
• At least ten years of relevant work experience with leadership in Compliance preferred.
• Ability to manage and influence while providing guidance.
• Advanced skill to analyze compliance issues independently.
• Strong ability to build consensus across departments.
• Advanced knowledge of RIA and industry regulation.
• Proven management and human relations skills.
• Proficiency with Windows programs: Excel, Outlook, Word, Copilot.
• Excellent oral and written communication skills.
• Strong critical thinking and problem solving.

Responsibilities

• Manage team of RIA Compliance Analysts with leadership and support.
• Primary compliance owner for corporate RIA regulatory filings and amendments.
• Oversee Form ADV, 13F, 13G, 13H, N-PX, CRS filings and related reports.
• Maintain regulatory disclosure governance program for accuracy and currency.
• Coordinate drafting of Form ADV Part 2A brochures, Form CRS, Reg BI disclosures.
• Ensure alignment across advisory and BD disclosures, filings, and client mailings.
• Monitor regulatory developments and implement timely updates.
• Conduct vendor evaluations and participate in due diligence.
• Represent the RIA Compliance Department in cross-functional projects.
• All other duties as assigned.

Skills

Regulatory leadership

Securities compliance

Communication skills

Influence and advisory

Problem solving

Cross-functional collaboration

Education

Bachelor's Degree

Juris Doctor (preferred)

Tools

Excel

Outlook

Word

Copilot

Job description

Osaic is seeking a Director of IA Compliance Platform Administration, Disclosures & Regulatory Filings to join our team as a senior leader. The role oversees the RIA compliance platform administration, disclosures, and regulatory filings, demanding a decade of experience in securities compliance and strong leadership within broker-dealer and investment advisory settings.

The position requires guiding a team, managing Form ADV and related filings, and maintaining governance programs.