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
Skills Required
- High school diploma or equivalent
- Bachelor's degree
- Located at one of listed hubs and willing to work minimum 4 days per week in office (hybrid)
- Ability to provide constructive and positive feedback
- Proficient with Windows and Microsoft Word, Excel, PowerPoint, Outlook
- Advanced experience with Excel and Power BI
- Certified Fraud Examiner (CFE)
Osaic Compensation & Benefits Highlights
The following summarizes recurring compensation and benefits themes identified from responses generated by popular LLMs to common candidate questions about Osaic and has not been reviewed or approved by Osaic.
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Leave & Time Off Breadth — Paid time away includes PTO, sick time, holidays, and volunteer days available from the start. The breadth supports work–life balance with a Monday–Friday schedule.
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Healthcare Strength — Health coverage spans medical, dental, vision, life, and disability with HSA/FSA options and day-one eligibility. The package also includes wellness initiatives and adoption assistance.
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Retirement Support — A 401(k) with company match and immediate vesting is offered. This supports long-term savings starting on the first day.
Osaic Insights
What We Do
Osaic provides the support, resources, and community designed for the future of wealth management. Securities and investment advisory services are offered through the firms: Osaic Wealth, Inc., Osaic Institutions, Inc., Osaic FA, Inc., Osaic FS, Inc., and Triad Advisors, LLC, broker-dealers, registered investment advisers, and members of FINRA and SIPC. Securities are offered through Securities America, Inc., American Portfolios Financial Services, Inc., Osaic Services Inc., and Ladenburg Thalmann & Co., broker-dealers and member of FINRA and SIPC. Advisory services are offered through Arbor Point Advisors, LLC, American Portfolios Advisors, Inc., Ladenburg Thalmann Asset Management, Inc., Osaic Advisory Services, LLC, and Securities America Advisors, Inc., registered investment advisers. Advisory programs offered by Osaic Wealth, Inc., Securities America Advisors, Inc., and Triad Advisors, LLC., are sponsored by VISION2020 Wealth Management Corp., an affiliated registered investment adviser.
