Director, IA Compliance Platform Administration & Disclosures

Osaic; Oakdale (MN); Hybrid; USD 150,000 - 160,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401(k)

Paid time off

Volunteer days

Job summary

Osaic is seeking a Director of IA Compliance Platform Administration, Disclosures & Regulatory Filings to lead a team responsible for corporate RIA regulatory filings and disclosure governance. The role requires a decade of progressive leadership in securities compliance and deep knowledge of the Investment Advisers Act of 1940.

Hybrid work model with a minimum of 4 days in-office at one of our hubs; compensation includes a $150,000–$160,000 base plus annual performance-based bonus.

Qualifications

• Bachelor's Degree from an accredited university is required.
• 10+ years of relevant work experience with strong knowledge of the Investment Advisers Act of 1940 and prior leadership in Compliance preferred.
• Expertise in Investment Adviser's Act of 1940 and general knowledge of other financial regulations.
• Excellent oral and written communication skills; ability to influence across departments.

Responsibilities

• Manage team of RIA Compliance Analysts by providing leadership and support.
• Serve as the primary compliance owner for corporate RIA regulatory filings, ensuring timely, accurate preparation, review, maintenance, and submission of required regulatory filings.
• Oversee and manage the filing of Form ADV, including annual and other required amendments, Form 13F, Form 13G, Form 13H, Form N-PX, Form CRS, and other applicable regulatory filings and reports.
• Maintain and administer the firm's regulatory disclosure governance program, ensuring disclosures remain current, accurate, and compliant with applicable regulatory requirements.
• Coordinate the drafting, review, and ongoing maintenance of Form ADV Part 2A brochures, Wrap Fee Program Brochures, Form CRS, Regulation Best Interest (Reg BI) disclosures, and other client-facing disclosure documents.
• Ensure consistency and alignment across advisory and broker-dealer disclosure documents, regulatory filings, firm policies and procedures, operational practices, and client mailings.
• Monitor regulatory developments, business initiatives, and organizational changes that impact filing obligations or disclosure requirements and implement timely updates.
• Conduct vendor evaluations and participate in product due diligence committees.
• Represent the RIA Compliance Department in cross-functional firm initiatives and strategic projects.
• All other duties as assigned.

Skills

Team leadership

Regulatory compliance

Regulatory filings

Project management

Communication

Education

Bachelor's Degree

Tools

Excel

Outlook

Word

Copilot

Job description

Osaic is seeking a Director of IA Compliance Platform Administration, Disclosures & Regulatory Filings to lead a team responsible for corporate RIA regulatory filings and disclosure governance. The role requires a decade of progressive leadership in securities compliance and deep knowledge of the Investment Advisers Act of 1940.

Hybrid work model with a minimum of 4 days in-office at one of our hubs; compensation includes a $150,000–$160,000 base plus annual performance-based bonus.