VP Advisory Channel Compliance Leader (RIA/BD)

OSAIC; Atlanta (GA); Hybrid; USD 170,000 - 200,000; 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 VP, Osaic Advisors Channel Compliance, based in Atlanta with a hybrid in-office requirement. The role oversees BD and IA compliance within Empowered Independence, partnering with IA Compliance and BD teams to design policies, procedures, and training for advisory-heavy, multi-custodial business models.

Ideal candidates will have a solid RIA compliance track record, broker-dealer exposure, and the ability to differentiate employee vs.

Qualifications

• Extensive Investment Adviser compliance experience with broker-dealer exposure.
• Experience in employee RIA environments, due diligence, supervision and compliance program development.
• Strong ability to lead change, develop talent and build a compliant culture.

Responsibilities

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

Skills

Leadership

Regulatory knowledge

Communication

Change management

Education

Bachelor's degree

Job description

Osaic is seeking a VP, Osaic Advisors Channel Compliance, based in Atlanta with a hybrid in-office requirement. The role oversees BD and IA compliance within Empowered Independence, partnering with IA Compliance and BD teams to design policies, procedures, and training for advisory-heavy, multi-custodial business models.

Ideal candidates will have a solid RIA compliance track record, broker-dealer exposure, and the ability to differentiate employee vs.