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Regulatory Compliance Specialist

Hybrid VP, Advisor Channel Compliance Leader

Job in Oakdale, Washington County, Minnesota, USA
Listing for: Osaic
Full Time position
Listed on 2025-12-28
Job specializations:
  • Finance & Banking
    Regulatory Compliance Specialist
Job Description & How to Apply Below
A prominent financial services firm is seeking a VP for Osaic Advisors Channel Compliance. This individual will oversee the investment adviser compliance program, collaborating with management teams to design policies and ensuring adherence to regulations. Candidates should have a robust compliance background and demonstrated leadership skills, with a focus on ethical practices and risk management. The role demands effective communication and strategic thinking to drive compliance initiatives within the firm.
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