Director - IA Compliance Platform Administration, Disclosures & Regulatory Filings
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What you'll do
- Manage team of RIA Compliance Analysts by providing leadership and support
- Serve as the primary compliance owner for corporate RIA regulatory filings, ensuring timely, accurate preparation, review, maintenance, and submission of required regulatory filings.
- Oversee and manage the filing of Form ADV, including annual and other required amendments, Form 13F, Form 13G, Form 13H, Form N-PX, Form CRS, and other applicable regulatory filings and reports.
- Maintain and administer the firm's regulatory disclosure governance program, ensuring disclosures remain current, accurate, and compliant with applicable regulatory requirements.
- Coordinate the drafting, review, and ongoing maintenance of Form ADV Part 2A brochures, Wrap Fee Program Brochures, Form CRS, Regulation Best Interest (Reg BI) disclosures, and other client-facing disclosure documents.
- Ensure consistency and alignment across advisory and broker-dealer disclosure documents, regulatory filings, firm policies and procedures, operational practices, and client mailings.
- Monitor regulatory developments, business initiatives, and organizational changes that impact filing obligations or disclosure requirements and implement timely updates.
- Conduct vendor evaluations and participate in product due diligence committees.
- Represent the RIA Compliance Department in cross-functional firm initiatives and strategic projects.
- All other duties as assigned.
What they're looking for
- Bachelor’s Degree from accredited university is required.
- Expertise in Investment Adviser’s Act of 1940 and general knowledge in other financial regulations;
- At least ten years of relevant work experience with strong knowledge of the Investment Advisers Act of 1940 and prior experience within Compliance leadership preferred;
- Ability to manage and effectively influence while providing advice and guidance;
- Advanced Skill to independently identify and analyze compliance issues;
- Strong Ability to build consensus among managers and employees across departments;
- Advanced knowledge of RIA and industry regulation;
- Proven management and human relations skills;
- Proficiency with Windows programs: Excel, Outlook, Word, Copilot
- Excellent oral and written communication skills;
- Strong critical thinking skills and is an ardent problem solver
Nice to have
- Advanced Degree such as Juris Doctor degree preferred
- Certifications such as IACCP preferred
- Series 7, 24, and 65/66 preferred
Summarised by NextRaise from the employer’s description, which follows in full below.
Full description from employer
Current Employees and Contractors Apply Here
Osaic Careers
Compliance Opportunity in Financial Services
Director – IA Compliance Platform Administration, Disclosures & Regulatory Filings
Location(s):
Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339
La Vista:12325 Port Grace Blvd, La Vista, NE 68128
Oakdale: 7755 3rd St. N, Oakdale, MN 55128
Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.
Role Type: Full-time
Salary: $150,000 - $160,000 per year + annual performance-based bonus
Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.
Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: Osaic Benefits.
Summary:
We are looking for a Director of IA Compliance Platform Administration, Disclosures & Regulatory Filings to join our team and be part of something great. We have an outstanding career opportunity for a driven, successful leader with at least 10 years of increasing management responsibility in the securities industry, both broker-dealer and investment advisory. The ideal candidate will spend their days managing the RIA Compliance Platform Administration, Disclosures & Regulatory Filings Team.
Education Requirements:
- Bachelor’s Degree from accredited university is required.
Responsibilities:
- Manage team of RIA Compliance Analysts by providing leadership and support
- Serve as the primary compliance owner for corporate RIA regulatory filings, ensuring timely, accurate preparation, review, maintenance, and submission of required regulatory filings.
- Oversee and manage the filing of Form ADV, including annual and other required amendments, Form 13F, Form 13G, Form 13H, Form N-PX, Form CRS, and other applicable regulatory filings and reports.
- Maintain and administer the firm's regulatory disclosure governance program, ensuring disclosures remain current, accurate, and compliant with applicable regulatory requirements.
- Coordinate the drafting, review, and ongoing maintenance of Form ADV Part 2A brochures, Wrap Fee Program Brochures, Form CRS, Regulation Best Interest (Reg BI) disclosures, and other client-facing disclosure documents.
- Ensure consistency and alignment across advisory and broker-dealer disclosure documents, regulatory filings, firm policies and procedures, operational practices, and client mailings.
- Monitor regulatory developments, business initiatives, and organizational changes that impact filing obligations or disclosure requirements and implement timely updates.
- Conduct vendor evaluations and participate in product due diligence committees.
- Represent the RIA Compliance Department in cross-functional firm initiatives and strategic projects.
- All other duties as assigned.
Basic Requirements:
- Expertise in Investment Adviser’s Act of 1940 and general knowledge in other financial regulations;
- At least ten years of relevant work experience with strong knowledge of the Investment Advisers Act of 1940 and prior experience within Compliance leadership preferred;
- Ability to manage and effectively influence while providing advice and guidance;
- Advanced Skill to independently identify and analyze compliance issues;
- Strong Ability to build consensus among managers and employees across departments;
- Advanced knowledge of RIA and industry regulation;
- Proven management and human relations skills;
- Proficiency with Windows programs: Excel, Outlook, Word, Copilot
- Excellent oral and written communication skills;
- Strong critical thinking skills and is an ardent problem solver
Preferred Requirements:
- Advanced Degree such as Juris Doctor degree preferred
- Certifications such as IACCP preferred
- Series 7, 24, and 65/66 preferred
Current Employees and Contractors Apply Here
Company
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