layiq

/la·yiq/adjective

worthy; deserving; fitting; suitable.

A role, opportunity, or path that merits attention, time, and pursuit.

Director - IA Compliance Platform Administration, Disclosures & Regulatory Filings at Osaic | LAYIQ

Manage team of RIA Compliance Analysts by providing leadership and support
Serve as the primary compliance owner for corporate RIA regulatory filings, ensuring timely, accurate preparation, review, maintenance, and submission of required regulatory filings.
Oversee and manage the filing of Form ADV, including annual and other required amendments, Form 13F, Form 13G, Form 13H, Form N-PX, Form CRS, and other applicable regulatory filings and reports.
Maintain and administer the firm's regulatory disclosure governance program, ensuring disclosures remain current, accurate, and compliant with applicable regulatory requirements.
Coordinate the drafting, review, and ongoing maintenance of Form ADV Part 2A brochures, Wrap Fee Program Brochures, Form CRS, Regulation Best Interest (Reg BI) disclosures, and other client-facing disclosure documents.
Ensure consistency and alignment across advisory and broker-dealer disclosure documents, regulatory filings, firm policies and procedures, operational practices, and client mailings.
Monitor regulatory developments, business initiatives, and organizational changes that impact filing obligations or disclosure requirements and implement timely updates.
Conduct vendor evaluations and participate in product due diligence committees.
Represent the RIA Compliance Department in cross-functional firm initiatives and strategic projects.
All other duties as assigned.
Basic Requirements: Expertise in Investment Adviser’s Act of 1940 and general knowledge in other financial regulations; At least ten years of relevant work experience with strong knowledge of the Investment Advisers Act of 1940 and prior experience within Compliance leadership preferred; Ability to manage and effectively influence while providing advice and guidance; Advanced Skill to independently identify and analyze compliance issues; Strong Ability to build consensus among managers and employees across departments; Advanced knowledge of RIA and industry regulation; Proven management and human relations skills; Proficiency with Windows programs: Excel, Outlook, Word, Copilot
Excellent oral and written communication skills; Strong critical thinking skills and is an ardent problem solver
Preferred Requirements: Advanced Degree such as Juris Doctor degree preferred
Certifications such as IACCP preferred
Series 7, 24, and 65/66 preferred
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Director - IA Compliance Platform Administration, Disclosures & Regulatory Filings

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