Director - IA Compliance Platform Administration, Disclosures & Regulatory Filings

Advisor Group; Scottsdale (AZ); 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 lead the RIA Compliance Team. The role requires a decade of leadership in securities compliance and strong expertise in the Investment Advisers Act, risk mitigation, and regulatory submissions.

The position supports a hybrid schedule with a minimum in-office presence and offers a comprehensive benefits package as part of total compensation.

Qualifications

• 10+ years in securities compliance leadership or equivalent
• Strong knowledge of Investment Advisers Act of 1940
• Experience managing RIA regulatory filings and disclosures
• Proven ability to influence and lead across departments
• Proficiency with Excel, Outlook, Word, and similar tools

Responsibilities

• Lead and develop the RIA Compliance Analysts team
• Own corporate RIA regulatory filings and disclosures program
• Oversee Form ADV, 13F/13G/13H, N-PX, CRS filings
• Maintain governance for regulatory disclosures
• Draft and maintain Form ADV Part 2A brochures and Reg BI disclosures
• Ensure alignment of broker-dealer and advisory disclosures
• Monitor regulatory changes and implement updates
• Participate in vendor evaluations and due diligence
• Represent the department in cross-functional initiatives
• Perform other duties as assigned

Skills

Investment regulations

Leadership experience

Regulatory compliance

Regulatory filings

Office software

Copilot

Education

Bachelor's Degree

Advanced degree preferred (JD)

Certifications (IACCP)

Tools

Copilot

Job description

Compliance Opportunity in Financial Services

Director – IA Compliance Platform Administration, Disclosures & Regulatory Filings

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

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.

Role Type: Full-time

Salary: $150,000 - $160,000 per year + annual performance-based bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: Osaic Benefits.

Summary:

We are looking for a Director of IA Compliance Platform Administration, Disclosures & Regulatory Filings to join our team and be part of something great. We have an outstanding career opportunity for a driven, successful leader with at least 10 years of increasing management responsibility in the securities industry, both broker-dealer and investment advisory. The ideal candidate will spend their days managing the RIA Compliance Platform Administration, Disclosures & Regulatory Filings Team.

Education Requirements:

• Bachelor's Degree from accredited university is required.

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.

Basic Requirements:

• Expertise in Investment Adviser's Act of 1940 and general knowledge in other financial regulations;
• At least ten years of relevant work experience with strong knowledge of the Investment Advisers Act of 1940 and prior experience within Compliance leadership preferred;
• Ability to manage and effectively influence while providing advice and guidance;
• Advanced Skill to independently identify and analyze compliance issues;
• Strong Ability to build consensus among managers and employees 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 skills and is an ardent problem solver

Preferred Requirements:

• Advanced Degree such as Juris Doctor degree preferred
• Certifications such as IACCP preferred
• Series 7, 24, and 65/66 preferred

Equal Opportunity Employer

Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Eligibility

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.

Unqualified Applications

Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Recruiting Agencies

Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.