Advisor Group
Overview
Compliance Leadership Opportunity in Financial Services SVP, BD Compliance 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 on this schedule. Role Type:
Full-Time Location:
Atlanta, GA; St. Petersburg, FL; Oakdale, MN; La Vista, NE; Scottsdale, AZ (multiple locations) Salary:
$150,000 - $200,000 per year + annual bonus Compensation details:
Actual compensation offered will be determined individually, based on location, skills, experience, and education. Our total compensation package includes health, vision, dental insurance, 401k, vacation and sick time, volunteer days, and more. To view more details, visit the careers page on our site: careers.osaic.com/Creative/Benefits
Summary: The SVP of BD Compliance will be responsible for all aspects of the broker/dealer compliance program within Osaic’s independent, hybrid, and W2 wealth management channels. The SVP will manage a successful and experienced Compliance team and report to the Chief Compliance Officer of Osaic. Responsibilities include compliance policy design, implementation, testing, training, surveillance, branch office examinations, supporting regulatory examinations, managing strategic projects, and advising personnel regarding applicable rules, regulations and compliance policies.
Ideal candidate profile:
(1) successful track record at a wealth management organization; (2) ability to implement workflow and technology solutions; (3) experience interacting with regulators and leadership; (4) broad experience with broker/dealer regulation; (5) ability to lead and implement core areas of a best-in-class compliance program; (6) develop program metrics and executive reporting; (7) familiarity with industry trends and leading compliance technology.
Candidate attributes:
solid ethical standards; self-motivated, high-performing, and persistent; creative and commercial approach to resolving compliance and risk issues; ability to relate and work in a changing environment; develop internal talent.
Responsibilities
Direct leadership of the firm’s broker/dealer compliance program including Core Compliance, BD Surveillance, and Branch Office Exams. Maintain and enhance the firm’s compliance program, policies and procedures, and regulatory reporting requirements. Conduct risk reviews and certifications of the firm’s processes, policies, and procedures. Develop, implement, and evolve firm policies and procedures, surveillance and testing, compliance program administration, and product and platform compliance. Advise and educate executive and management teams on applicable law and regulations in relation to strategic business initiatives. Identify and advise on key risks specific to the firm’s wealth management channels. Drive continuous improvement to modernize the compliance experience through efficient processes, policy enhancements, automation, and change management initiatives. Stay informed of industry changes, trends and best practices and assess potential impact on policies and systems to ensure compliance. Evaluate and advise on potential new regulatory and business risks; manage implementation of new rules, regulations, and laws. Advise and educate affiliated financial professionals and employees on regulations and policy. Provide support for regulatory examinations and audits. Promote a culture of ethical conduct and commitment to compliance. Participate in committees and provide regular updates on the compliance program to relevant committees and the Board.
Education Requirements
Minimum of a bachelor’s degree required; advanced degree or certifications a plus.
Basic Requirements
Strong leadership skills with ability to lead through change and develop high performing teams. Extensive broker/dealer and wealth management compliance experience. Thorough knowledge of securities operational processes and investment products. Strong verbal and written communication and interpersonal skills. Ability to adapt to shifting priorities and timelines through analytical and problem-solving capabilities. Proven track record in decision making, process improvement, and compliance technology development. Proactive, resourceful, and able to work autonomously. Series 7 and 24 licenses required; Series 66 or 63/65 a plus. Understanding of FINRA, SEC, and state rules and regulations; ERISA regulations a plus.
Equal Opportunity Employer Osaic is an equal opportunity employer. We celebrate diversity and hire qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, abilities, genetic information, race, religion, sexual orientation, or any other characteristic protected by law.
Eligibility Applicants for employment in the US must have valid work authorization that does not require sponsorship of a visa for employment authorization in the US by Osaic.
Unqualified Applications Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
Recruiting Agencies Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.
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Compliance Leadership Opportunity in Financial Services SVP, BD Compliance 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 on this schedule. Role Type:
Full-Time Location:
Atlanta, GA; St. Petersburg, FL; Oakdale, MN; La Vista, NE; Scottsdale, AZ (multiple locations) Salary:
$150,000 - $200,000 per year + annual bonus Compensation details:
Actual compensation offered will be determined individually, based on location, skills, experience, and education. Our total compensation package includes health, vision, dental insurance, 401k, vacation and sick time, volunteer days, and more. To view more details, visit the careers page on our site: careers.osaic.com/Creative/Benefits
Summary: The SVP of BD Compliance will be responsible for all aspects of the broker/dealer compliance program within Osaic’s independent, hybrid, and W2 wealth management channels. The SVP will manage a successful and experienced Compliance team and report to the Chief Compliance Officer of Osaic. Responsibilities include compliance policy design, implementation, testing, training, surveillance, branch office examinations, supporting regulatory examinations, managing strategic projects, and advising personnel regarding applicable rules, regulations and compliance policies.
Ideal candidate profile:
(1) successful track record at a wealth management organization; (2) ability to implement workflow and technology solutions; (3) experience interacting with regulators and leadership; (4) broad experience with broker/dealer regulation; (5) ability to lead and implement core areas of a best-in-class compliance program; (6) develop program metrics and executive reporting; (7) familiarity with industry trends and leading compliance technology.
Candidate attributes:
solid ethical standards; self-motivated, high-performing, and persistent; creative and commercial approach to resolving compliance and risk issues; ability to relate and work in a changing environment; develop internal talent.
Responsibilities
Direct leadership of the firm’s broker/dealer compliance program including Core Compliance, BD Surveillance, and Branch Office Exams. Maintain and enhance the firm’s compliance program, policies and procedures, and regulatory reporting requirements. Conduct risk reviews and certifications of the firm’s processes, policies, and procedures. Develop, implement, and evolve firm policies and procedures, surveillance and testing, compliance program administration, and product and platform compliance. Advise and educate executive and management teams on applicable law and regulations in relation to strategic business initiatives. Identify and advise on key risks specific to the firm’s wealth management channels. Drive continuous improvement to modernize the compliance experience through efficient processes, policy enhancements, automation, and change management initiatives. Stay informed of industry changes, trends and best practices and assess potential impact on policies and systems to ensure compliance. Evaluate and advise on potential new regulatory and business risks; manage implementation of new rules, regulations, and laws. Advise and educate affiliated financial professionals and employees on regulations and policy. Provide support for regulatory examinations and audits. Promote a culture of ethical conduct and commitment to compliance. Participate in committees and provide regular updates on the compliance program to relevant committees and the Board.
Education Requirements
Minimum of a bachelor’s degree required; advanced degree or certifications a plus.
Basic Requirements
Strong leadership skills with ability to lead through change and develop high performing teams. Extensive broker/dealer and wealth management compliance experience. Thorough knowledge of securities operational processes and investment products. Strong verbal and written communication and interpersonal skills. Ability to adapt to shifting priorities and timelines through analytical and problem-solving capabilities. Proven track record in decision making, process improvement, and compliance technology development. Proactive, resourceful, and able to work autonomously. Series 7 and 24 licenses required; Series 66 or 63/65 a plus. Understanding of FINRA, SEC, and state rules and regulations; ERISA regulations a plus.
Equal Opportunity Employer Osaic is an equal opportunity employer. We celebrate diversity and hire qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, abilities, genetic information, race, religion, sexual orientation, or any other characteristic protected by law.
Eligibility Applicants for employment in the US must have valid work authorization that does not require sponsorship of a visa for employment authorization in the US by Osaic.
Unqualified Applications Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
Recruiting Agencies Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.
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