VP, Osaic Advisors Channel Compliance
Core
Lead compliance for Osaic's Empowered Independence Channel, covering both broker-dealer and investment adviser requirements for advisory-heavy, multi-custodial business models.
Role type
VP, Compliance Leadership
Builds
Channel-specific compliance policies, surveillance, due diligence, and oversight processes for fee-only and independent contractor advisory models.
Domain
Financial Services / Investment Advisory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
RIA compliance leadership, broker-dealer compliance exposure, employee RIA model expertise, regulatory interaction, program design, executive reporting, compliance technology implementation
Preferred skills
Multi-custodial platform experience, change management, talent development, industry trend analysis
Technologies
Compliance automation tools, surveillance systems, regulatory technology platforms
Responsibilities
Design and mature channel-specific compliance programs distinguishing employee and independent contractor models; coordinate regulatory filings and examination support; advise executive teams on laws and regulations; drive process modernization and automation; manage regulatory risk and audit support; develop program-level metrics for governance.
Seniority
VP, strategic leadership with hands-on program ownership