VP, Osaic Advisors Channel Compliance
Core
VP leading compliance for Osaic's Empowered Independence Channel, managing both broker-dealer and investment adviser requirements for an advisory-heavy business model.
Role type
VP, Compliance Leadership
Builds
Channel-specific compliance policies, surveillance, due diligence, and oversight processes for a multi-custodial platform.
Domain
Financial Services / Investment Advising / Broker-Dealer
Required skills
RIA compliance leadership, broker-dealer compliance, employee RIA model expertise, regulatory interaction, FINRA/SEC rules knowledge, compliance program design, risk management, change management, talent development, compliance technology implementation.
Preferred skills
Advanced degree, Series 65/66 license or IAR designation, experience with Schwab/Fidelity/NFS/Pershing custodians.
Technologies
Compliance automation tools, surveillance systems, regulatory technology platforms.
Responsibilities
Design and mature channel-specific compliance programs distinguishing employee vs. independent contractor models; coordinate with BD and IA compliance teams; advise executive teams on regulatory risks and new regulations; manage regulatory examination support; drive process modernization and automation; develop program-level metrics and executive reporting.
Seniority
VP, Strategic Leadership & Team Management