Ia Compliance Policies, Procedures And Testing Manager

Osaic

Atlanta, GA, US
$125,000 – $135,000 py; annual bonus; health, visi...
Hybrid (minimum of 4 days in the office)
Ria compliance program oversight
Risk-based compliance testing program
Investment advisers act of 1940
Osaic is seeking an IA Compliance Policies, Procedures, and Testing Manager to oversee and execute its RIA Compliance Program. The role requires strong regulatory knowledge and management skills, focusing on compliance with investment advisory laws and internal controls

Job Summary

  • Responsible for oversight and execution of the Firm’s RIA Compliance Program, including policy formulation, risk assessment, testing, and regulatory filings.
  • Design, implement, and maintain a risk-based compliance testing program in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940.
  • Osaic offers a competitive compensation package including health, vision, dental insurance, 401k, and paid time away.

Matching Summary

Match Score: 75

Osaic is seeking an IA Compliance Policies, Procedures, and Testing Manager to oversee and execute its RIA Compliance Program. The role requires strong regulatory knowledge and management skills, focusing on compliance with investment advisory laws and internal controls.

Salary

$125,000 – $135,000 per year; annual bonus; health, vision, dental insurance, 401k, paid time away

Skills & Requirements

Must-have

  • RIA Compliance Program oversight
  • Risk-based compliance testing program
  • Investment Advisers Act of 1940
  • Regulatory filings and examinations
  • Policy and procedure development

Nice-to-have

  • Cross-functional collaboration
  • Adaptable communication style
  • Process efficiency development

Key Requirements

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

Work Rights

Not specified

Tailored Resume

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