SVP – IA Compliance
| Company | Osaic |
|---|---|
| Location | Scottsdale, AZ, USA, Atlanta, GA, USA, Papillion, NE, USA, St. Petersburg, FL, USA, Woodbury, MN, USA |
| Salary | $200000 – $250000 |
| Type | Full-Time |
| Degrees | |
| Experience Level | Senior, Expert or higher |
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.
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.
Preferred Qualifications
- Advanced degree or certifications a plus.