Job Description

IA Compliance Policies, Procedures and Testing Manager Locations: Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339 La Vista: 12325 Port Grace Blvd, La Vista, NE 68128 Oakdale: 7755 3rd St. N, Oakdale, MN 55128 Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255 St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702 Osaic is not considering remote candidates at this time. Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule. Role Type Full-time Salary $125,000 – $135,000 per year + annual bonus Total Compensation and Benefits Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401(k), paid time away, volunteer days and more. For more details, visit our careers page: Summary IA Compliance Policies, Procedures and Testing Manager will be responsible for oversight and execution of the Firm’s RIA Compliance Program, including ongoing administration, new policy formulation, risk assessment, testing and regulatory filings. Education Requirements Bachelor’s Degree from an accredited university in Business, Accounting, Finance or related discipline. High school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required. Responsibilities Monitor compliance with laws, rules and regulations Develop & manage AG’s RIA Compliance Program Coordinate and oversee the development, implementation and enforcement of policies, procedures and programs to minimize risk Prepare for and respond to regulatory inquiries, examinations, internal and external audits Represent RIA Compliance Department in cross‑functional firm initiatives and committees Provide investment advisory compliance support to RIA subsidiaries of Osaic Research and resolve issues, provide recommendations, and escalate to senior management as needed Design, implement, and maintain a risk‑based compliance testing program in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940 Develop and execute annual and periodic testing plans to evaluate the effectiveness of RIA compliance policies, procedures, and associated internal controls Perform and oversee documented testing of key advisory risk areas, including but not limited to conflicts of interest, disclosures, best execution, trading practices, marketing/advertising, custody, cybersecurity, privacy, and personal trading Evaluate testing results, identify control gaps or weaknesses, and ensure timely remediation, follow‑up testing, and issue tracking Prepare formal written testing reports, summaries, and workpapers supporting conclusions and management recommendations Coordinate testing efforts with internal stakeholders (Legal, Supervision, Operations, Technology, Risk, and Internal Audit) to ensure comprehensive coverage and consistency All other duties as assigned Basic Requirements Five+ years of relevant work experience with a financial institution such as a broker/dealer, registered investment adviser, regulatory agency, or other financial institution Significant prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933 FINRA Series 66 (or 65) is required Significant prior experience with regulatory filings, conducting risk assessments and 206(4)-7 testing drafting policies and procedures Strong ability to build consensus among managers and employees across departments Excellent project and time management skills with the ability to handle multiple priorities, meet deadlines and develop process efficiencies where required Strong written and verbal communication, including the ability to communicate both up and down the management chain and to adapt your style depending on the audience and subject matter Proven management and human relation skills Preferred Requirements FINRA Series 7 and Series 24 are preferred Equal Opportunity Employer Osaic is an equal opportunity employer. We celebrate diversity in our workplace and hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities, genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law. Eligibility Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic. Unqualified Applications Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting. Recruiting Agencies Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions. #J-18808-Ljbffr

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