SVP, IA Compliance

Compliance Leadership Opportunity in Financial Services

SVP, IA Compliance

Preferred Location(s):

2300 Windy Ridge Parkway, Atlanta, GA 30339
877 Executive Center Drive West, St. Petersburg, FL 33702
7755 Third Street North, Oakdale, MN 55128
12325 Port Grace Boulevard, La Vista, NE 68128
18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

Schedule: Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants must be willing to work this schedule.

Role Type: Full-Time

Salary: $200,000 - $250,000 per year + annual bonus

• Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and education.
• Our competitive salaries are just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, vacation and sick time, volunteer days and much more.
• To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits

Summary:

We are looking for an SVP of IA Compliance to be responsible for all aspects of the investment adviser compliance program across Osaic's independent and hybrid wealth management channels. Responsibilities include compliance policy design and implementation, compliance training, surveillance, regulatory examinations, management of strategic projects, and advising Osaic personnel regarding applicable rules, regulations and compliance policies. The SVP will manage a successful and experienced Compliance team and will report to the Chief Compliance Officer of Osaic.

The ideal candidate will have (i) a successful track record at a wealth management organization, (2) demonstrated an ability to successfully lead a team of sophisticated and experienced professionals, (3) significant experience interacting with regulators and the candidate's organization's leadership, (4) broad experience with the regulation of investment advisors, and (5) a proven ability to lead, design and implement core areas of a best-in-class compliance program.

A successful candidate for this position will (i) have a solid ethical core, and set the bar for conducting himself/herself to the highest ethical standards; (ii) be a self-motivated, high performing and persistent individual who will be able to manage pressure; (iii) apply a creative and commercial mind in her or his approach to resolving compliance and risk issues; and. (iv) relate and work well with others in a changing and dynamic environment.

Responsibilities:

• Responsible for maintaining and enhancing 206(4)-7 compliance program, investment advisory policies and procedures, and the delivery of required regulatory filings (Form ADV, CRS, 13F, 13G).
• Manage compliance teams including, but not limited to, advisory policy and procedure management, surveillance and testing, compliance program administration, and product and platform compliance.
• Advise, collaborate and educate with executive and management teams on applicable law and regulations in relation to strategic business initiatives.
• Drive continuous improvement to modernize the compliance experience for financial professionals and employees by implementation of more efficient processes, policies and procedures enhancements, automation of compliance functions, and leading change management initiatives.
• Keep informed of industry changes, trends and best practices, and assess the potential impact on policies, procedures and systems to ensure that they are designed to comply with applicable laws and regulations.
• Evaluate and advise executive and management teams of potential new regulatory and business risks.
• Manage implementation of new investment advisory regulations.
• Advise and educate affiliated financial professionals and employees on investment advisory regulations and policy.
• Provide support and assist with the management of regulatory and audit examination.
• Work with key constituencies to encourage, promote, and enhance a culture that encourages ethical conduct and commitment to compliance.
• Participate and provide regulatory and risk thought leadership on various organizational committees.

Education Requirements:

• Minimum of a bachelor's degree is required, advanced degree or certifications a plus.

Basic Requirements:

• Strong leadership skills with ability to lead through change and develop high performing teams.
• Extensive Investment Adviser compliance experience.
• Thorough knowledge of the retail investment advisory business as well as investment securities products.
• Demonstrated strong verbal and written communication and interpersonal skills.
• Ability to conform to shifting priorities, demands and timelines through analytical and problem-solving capabilities.
• Proven track-record in decision making, process improvement and compliance technology development.
• Strong leadership skills with a positive track record of developing talent and building a strong, unified and collaborative culture.
• Team, collaborative, and solutions oriented with an ability to actively engage within the business.
• Organized and able to prioritize workload efficiently.
• Proactive, responsive and efficient.
• Resourceful and capable of working autonomously.
• Series 65/66 license required, FINRA Series 7 and 24 registrations preferred.
• Sophisticated understanding of SEC rules and regulations and understanding of FINRA rules.
• Advanced understanding of ERISA as it applies to retail advisory business a plus.