SVP, Broker Dealer Compliance

Osaic Careers

Compliance Leadership Opportunity in Financial Services

SVP, BD Compliance

Preferred Location(s) :

2300 Windy Ridge Parkway, Atlanta, GA 30339

877 Executive Center Drive West, St. Petersburg, FL 33702

7755 Third Street North, Oakdale, MN 55128

12325 Port Grace Boulevard, La Vista, NE 68128

18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

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

Salary : $150,000 - $200,000 per year + annual bonus

• Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and education.
• Our competitive salaries are just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, vacation and sick time, volunteer days and much more.

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 will report to the Chief Compliance Officer of Osaic. Responsibilities include compliance policy design, implementation, and testing, compliance training, surveillance, branch office examinations, supporting regulatory examinations, management of strategic projects, and advising Osaic personnel regarding applicable rules, regulations and compliance policies.

The ideal candidate will have (1) a successful track record at a wealth management organization, (2) demonstrated an ability to implement workflow and technology solutions, (3) significant experience interacting with regulators and the candidate’s organization’s leadership, (4) broad experience with the regulation of broker / dealers, (5) a proven ability to lead, design and implement core areas of a best-in-class compliance program, (6) develop program level metrics and executive reporting to relevant committees and the Board, and (7) familiarity with industry trends and leading compliance technology.

A successful candidate for this position will (i) have a solid ethical core, and set the bar for conducting themselves to the highest ethical standards; (ii) be a self-motivated, high performing and persistent individual who will be able to manage pressure; (iii) apply a creative and commercial mind in their approach to resolving compliance and risk issues; (iv) relate and work well with others in a changing and dynamic environment; and (v) develop internal talent.

Responsibilities :

Education Requirements :

Basic Requirements :