VP, Channel Compliance — Advisory & BD Oversight

Advisor Group Inc.; Scottsdale (AZ); 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

and much more

Job summary

Osaic is seeking a VP of Advisors Channel Compliance to lead cross‑functional compliance for broker‑dealer and investment adviser activities. The role emphasizes policy design, risk oversight, and regulatory guidance across the Empowered Independence channel.

The ideal candidate will have extensive RIA compliance experience, strong interaction with regulators and leadership, and the ability to implement channel‑specific controls and metrics.

Qualifications

• Strong leadership and team-building capabilities.
• Extensive investment adviser compliance experience including BD exposure.
• Experience educating executive teams on laws, regs and compliance requirements.

Responsibilities

• Support channel-specific compliance for Empowered Independence across IA and BD activities.
• Develop and evolve advisory and broker-dealer policies and procedures for multi-custodial platforms.
• Differentiate employee RIA vs independent contractor policies and supervision.
• Advise leadership on regulatory risks and evolving compliance standards.
• Drive modernization of compliance processes with automation and tech solutions.
• Provide guidance on FINRA rules, SEC regulations and fee-only advisory controls.

Skills

Leadership

Regulatory knowledge

Communication

Problem-solving

Project management

Financial services

Education

Bachelor's degree

Job description

Osaic is seeking a VP of Advisors Channel Compliance to lead cross‑functional compliance for broker‑dealer and investment adviser activities. The role emphasizes policy design, risk oversight, and regulatory guidance across the Empowered Independence channel.

The ideal candidate will have extensive RIA compliance experience, strong interaction with regulators and leadership, and the ability to implement channel‑specific controls and metrics.