Ia Compliance Policies & Procedures Manager

Osaic

Atlanta, GA, US
Base: $125,000 – $135,000 py; bonus/equity: annual...
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Ria compliance program management
Risk-based compliance testing
Regulatory filings and risk assessments
** Osaic is seeking an IA Compliance Policies & Procedures Manager to oversee its RIA Compliance Program, focusing on policy formulation, risk assessment, and regulatory compliance. The role requires significant experience in the financial sector, specifically with compliance-related regulations and policies, and mandates a hybrid work schedule with a minimum of four days in the office. **

Job Summary

  • The IA Compliance Policies, Procedures and Testing Manager is responsible for oversight and execution of the Firm’s RIA Compliance Program including administration, policy formulation, risk assessment, testing, and regulatory filings.
  • Osaic offers a competitive compensation package including salary, annual bonus, health, vision, dental insurance, 401k, paid time away, volunteer days, and more.
  • The role requires working on a hybrid schedule with a minimum of 4 days per week in the office at one of Osaic’s specified hub locations.

Matching Summary

Match Score: 75

** Osaic is seeking an IA Compliance Policies & Procedures Manager to oversee its RIA Compliance Program, focusing on policy formulation, risk assessment, and regulatory compliance. The role requires significant experience in the financial sector, specifically with compliance-related regulations and policies, and mandates a hybrid work schedule with a minimum of four days in the office. **

Salary

Base: $125,000 – $135,000 per year; Bonus/Equity: annual bonus; Benefits: health, vision, dental insurance, 401k, paid time away, volunteer days

Skills & Requirements

Must-have

  • RIA Compliance Program management
  • Risk-based compliance testing
  • Regulatory filings and risk assessments
  • Policy and procedure development
  • Cross-functional collaboration
  • Investment advisory compliance support

Nice-to-have

  • Project and time management skills
  • Strong written and verbal communication
  • Consensus building across departments
  • Human relations and management skills

Key Requirements

  • Bachelor’s Degree or equivalent experience
  • Five+ years relevant financial institution experience
  • FINRA Series 66 or 65 required
  • Experience with Investment Advisers Act of 1940
  • Experience with regulatory filings and 206(4)-7 testing
  • Preferred FINRA Series 7 and Series 24

Work Rights

Must be willing to work onsite at US hubs; remote not considered

Tailored Resume

Cover Letter