Director, IA Compliance Platform Administration, Disclosures & Regulatory Filings

About the role

Osaic is looking for a Director of IA Compliance Platform Administration, Disclosures and Regulatory Filings to lead its RIA Compliance team. The role suits a driven leader with at least 10 years of increasing management responsibility in the securities industry, both broker-dealer and investment advisory. The position is full-time, paid $150,000-$160,000 per year plus an annual performance-based bonus, and requires a hybrid schedule of at least 4 days per week in the office at one of the listed hubs.

Key responsibilities

• Manage the team of RIA Compliance Analysts through leadership and support.
• Serve as primary compliance owner for corporate RIA regulatory filings, ensuring they are prepared, reviewed, maintained and submitted on time.
• Oversee filing of Form ADV (annual and other amendments), Form 13F, 13G, 13H, N-PX, Form CRS and other applicable filings.
• Maintain the regulatory disclosure governance program so disclosures stay current and compliant.
• Coordinate drafting and maintenance of Form ADV Part 2A brochures, Wrap Fee Program Brochures, Form CRS, Reg BI disclosures and other client-facing documents.
• Keep advisory and broker-dealer disclosures aligned with firm policies, operations and client mailings.
• Monitor regulatory and business changes affecting filings and update them promptly.
• Evaluate vendors, take part in product due diligence committees and represent the RIA Compliance Department in cross-functional initiatives.

Required profile

• Bachelor's degree from an accredited university.
• At least 10 years of relevant experience, with strong knowledge of the Investment Advisers Act of 1940 and compliance leadership experience preferred.
• Expertise in the Investment Advisers Act of 1940 and advanced knowledge of RIA and industry regulation.
• Ability to manage, influence and guide others, and to build consensus across departments.
• Preferred: Juris Doctor degree, IACCP certification, Series 7, 24 and 65/66 licenses.

Required skills

• Independent analysis of compliance issues.
• Proficiency with Excel, Outlook and Word.
• Excellent oral and written communication and critical thinking.

What we offer

• Health, vision and dental insurance.
• 401k and paid time away.
• Volunteer days and additional benefits.