Compliance Manager

Compliance Leadership Opportunity in Financial Services

Compliance Manager, Branch Office Exams

Location(s):

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 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:             $90k - $100k per year + annual performance-based bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: Osaic Benefits.

Summary:

Osaic is currently seeking a Compliance Risk Manager in our Branch Exam department. This is an outstanding opportunity to provide influential leadership and oversight of Branch Exams to Financial Advisors affiliated with Osaic. The BOE Manager is responsible for development and performance management of assigned staff, ensuring compliance with regulatory requirements, firm policies, and quality and timeliness in service delivery.

Education Requirements:

• Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required. 

Responsibilities:

• Responsible for the daily oversight of department staff, workflows, processing procedures and problem resolution.
• Monitors, reports, and enforces internal controls to ensure compliance with industry standards, regulatory
• requirements, and the firm’s policies and procedures.
• Conduct examiner assessments in the field and assist in development and delivery of examiner training.
• Train new examiners on exam requirements through a variety of methods including in-person meetings, web- based training, and/or educational presentations.
• Ensure exam reports are consistent, accurate and published in a timely manner.
• Continually seek out and implement efficiencies and service/process improvements. Actively analyze problems, determine factors, and implement corrective actions. Exercise strong problem solving and decision-making skills.
• Manage staffing levels for the department; conduct interviews and make candidate hiring decisions.
• Act as a liaison with internal departments, business leaders, financial advisors, to build strong partnerships and resolve complex problems.
• Accountable for team and staff development by providing the tools and training needed to achieve success.
• Provide career planning, goal setting and coaching support to team members.
• Influence and motivate team; cultivate a culture of teamwork and sharing of information among internal team members.
• Directly manages up to 10 employees. Carry out managerial duties in accordance with the organization’s policies and applicable laws.
• All other duties as assigned

Basic Requirements:

• Ability to provide constructive and positive feedback
• Proficient with Windows and MS applications such as Word, Excel, PowerPoint, and Outlook
• Advanced experience with Excel and Power BI a plus.

Preferred Requirements:

• Certified Fraud Examiner (CFE) preferred