Director, IA Compliance Platform & 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

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.