Director, IA Compliance & Regulatory Filings — Hybrid

Osaic; Atlanta (GA); Hybrid; USD 150,000 - 160,000; Full time

Benefits offered by this job

Health, vision, dental insurance

401k

Paid time away

Volunteer days

Job summary

Osaic in Atlanta seeks a Director of IA Compliance Platform Administration, Disclosures & Regulatory Filings to lead the RIA compliance program. The role oversees regulatory filings, disclosure governance, and Form ADV/13F 13G 13H processes, directing a team of analysts with a strong emphasis on accuracy and timeliness.

The ideal candidate has 10+ years in securities compliance leadership, deep knowledge of the Investment Advisers Act, and proven ability to drive cross-functional initiatives

Qualifications

• Expertise in Investment Advisers Act of 1940.
• Ten years of relevant compliance leadership experience.
• Ability to influence and advise across teams and departments.
• Advanced knowledge of RIA and industry regulation.
• Strong communication, writing and presentation skills.

Responsibilities

• Lead the RIA Compliance Analysts team with guidance and support.
• Manage regulatory filings including Form ADV, 13F, 13G, 13H, N-PX and Form CRS.
• Maintain the firm’s disclosure governance program and client-facing disclosure documents.
• Coordinate drafting of Form ADV Part 2A brochures and Reg BI disclosures.
• Ensure alignment across advisory and broker-dealer disclosures, filings, and firm policies.

Skills

Investment Advisers Act of 1940

Compliance leadership

Regulatory compliance

Analytical thinking

Communication skills

Windows programs (Excel, Outlook, Word

Team leadership

Consensus building

RIA regulation knowledge

Education

Bachelor's degree

Advanced degree (Juris Doctor)

Tools

Microsoft Office Suite

Copilot

Job description

Osaic in Atlanta seeks a Director of IA Compliance Platform Administration, Disclosures & Regulatory Filings to lead the RIA compliance program. The role oversees regulatory filings, disclosure governance, and Form ADV/13F 13G 13H processes, directing a team of analysts with a strong emphasis on accuracy and timeliness.

The ideal candidate has 10+ years in securities compliance leadership, deep knowledge of the Investment Advisers Act, and proven ability to drive cross-functional initiatives