VP, Channel Compliance — Advisory & BD Leader

OSAIC; La Vista (NE); Hybrid; USD 170,000 - 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 to lead compliance for the Osaic Advisors Channel, supporting both broker-dealer and investment adviser programs. The role requires coordinating with IA and BD teams, shaping policy, and guiding regulatory communications for advisory-heavy business.

The ideal candidate has a solid RIA compliance track record, experience with multi-custodial platforms, and the ability to design channel-specific controls while reporting to senior leadership. A bachelor's degree is required.

Qualifications

• Extensive investment adviser compliance experience with broker-dealer exposure.
• Experience designing and maturing a channel-specific compliance program.
• Ability to work across BD and IA compliance teams and regulators.

Responsibilities

• Support channel-specific compliance requirements for Empowered Independence across IA and BD activities.
• Develop and evolve advisory and broker-dealer policies, procedures, surveillance, and due diligence.
• Differentiate employee RIA requirements from independent contractor policies and supervision.
• Advise executive leadership on applicable laws, regulations and compliance requirements.
• Drive continuous improvement, automation, and technology solutions in compliance.

Skills

Regulatory leadership

Compliance program design

Stakeholder management

Education

Bachelor's degree

Job description

Osaic is seeking a VP to lead compliance for the Osaic Advisors Channel, supporting both broker-dealer and investment adviser programs. The role requires coordinating with IA and BD teams, shaping policy, and guiding regulatory communications for advisory-heavy business.

The ideal candidate has a solid RIA compliance track record, experience with multi-custodial platforms, and the ability to design channel-specific controls while reporting to senior leadership. A bachelor's degree is required.