VP, Advisors Channel Compliance Leader

Advisor Group; La Vista (NE); Hybrid; USD 120,000 - 200,000; Full time

Job summary

Osaic seeks a VP of Osaic Advisors Channel Compliance to lead cross-functional BD and IA compliance programs within a primarily advisory channel. The role requires collaboration with Compliance teams, channel leadership, and regulators to design, implement, and oversee controls, policies, and training across Empowered Independence.

The successful candidate will bring extensive compliance experience in multi-custodial advisory environments, strong leadership, and the ability to manage regulatory

Qualifications

• Extensive Investment Adviser compliance experience, with broker-dealer exposure.
• Experience in employee RIA environments, including due diligence, supervision and oversight.
• Ability to design and mature a compliance program distinguishing employee vs independent contractor models.
• Experience interacting with regulators and leadership.

Responsibilities

• Support channel-specific compliance requirements for Empowered Independence across IA and BD activities.
• Develop, implement, and evolve channel-specific advisory and broker-dealer policies and procedures.
• Build and maintain compliance program elements differentiating employee RIA requirements from contractor policies.
• Advise and educate executive teams on applicable laws and regulations for strategic initiatives.
• Identify and advise on key risks specific to Empowered Independence.
• Drive improvements through automation and technology solutions; lead change management.
• Keep informed of industry changes and assess impact on policies and systems.
• Evaluate and advise on regulatory and business risks.
• Manage implementation of new investment advisory regulations.
• Advise and educate on investment adviser regulations and channel-specific controls.
• Provide support for regulatory and audit examinations.
• Promote a culture of ethical conduct and compliance.
• Participate in committees and provide updates to governance forums.

Skills

Regulatory compliance

Leadership

Financial services

Regulatory reporting

Communication

Education

Bachelor's degree

Job description

Osaic seeks a VP of Osaic Advisors Channel Compliance to lead cross-functional BD and IA compliance programs within a primarily advisory channel. The role requires collaboration with Compliance teams, channel leadership, and regulators to design, implement, and oversee controls, policies, and training across Empowered Independence.

The successful candidate will bring extensive compliance experience in multi-custodial advisory environments, strong leadership, and the ability to manage regulatory