VP, Advisor Channel Compliance - Financial Services

Osaic; Scottsdale (AZ); Hybrid; USD 165,000 - 200,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time away

Volunteer days

Job summary

Osaic is seeking a VP, Osaic Advisors Channel Compliance, to lead compliance for Empowered Independence across IA and BD activities. The role reports to SVP of IA Compliance and collaborates with channel leadership to design policies, procedures, and oversight for advisory-heavy business.

The candidate will bring a strong RIA compliance track record, multi-custodial experience, and the ability to implement channel-specific controls, escalation paths, and governance reporting.

Qualifications

• Extensive Investment Adviser compliance experience with broker-dealer exposure.
• Experience in employee RIA environments, including due diligence and supervision.
• Series 65/66 license required or applicable professional designation for IAR registration.
• Strong leadership and talent development abilities.
• Ability to lead through change in a dynamic financial services environment.

Responsibilities

• Support channel-specific compliance requirements for Empowered Independence across IA and BD activities.
• Develop and evolve channel-specific policies, surveillance, due diligence and oversight processes.

Skills

Leadership

Regulatory compliance

Investment adviser

Broker-dealer

Due diligence

Communication

Problem solving

Change management

Education

Bachelor's degree

Job description

Osaic is seeking a VP, Osaic Advisors Channel Compliance, to lead compliance for Empowered Independence across IA and BD activities. The role reports to SVP of IA Compliance and collaborates with channel leadership to design policies, procedures, and oversight for advisory-heavy business.

The candidate will bring a strong RIA compliance track record, multi-custodial experience, and the ability to implement channel-specific controls, escalation paths, and governance reporting.