Director, IA Compliance & Regulatory Filings - Hybrid

Osaic; Scottsdale (AZ); Hybrid; USD 150,000 - 160,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time away

Job summary

Osaic is seeking a Director of IA Compliance Platform Administration, Disclosures & Regulatory Filings to lead the RIA compliance team in a hybrid role based at Scottsdale hub. The ideal candidate has 10+ years of increasing management responsibility in securities, with deep expertise in Form ADV, 13F/13G/13H filings and regulatory disclosures.

Responsibilities include managing the team, coordinating filings, governing disclosure programs, and aligning client communications with regulatory

Qualifications

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

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

Investment Adviser Act 1940 knowledge

Regulatory leadership

Regulatory filings expertise

Analytical thinking

Problem solving

Cross-functional influence

Reg BI disclosures knowledge

RIA and industry regulation knowledge

Proficiency with Windows programs

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 the RIA compliance team in a hybrid role based at Scottsdale hub. The ideal candidate has 10+ years of increasing management responsibility in securities, with deep expertise in Form ADV, 13F/13G/13H filings and regulatory disclosures.

Responsibilities include managing the team, coordinating filings, governing disclosure programs, and aligning client communications with regulatory