Compliance Manager

Advisor Group•Oakdale, AZ

2d•Hybrid

About The Position

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.

Requirements

Minimum of high school diploma or equivalent is required.
Ability to provide constructive and positive feedback
Proficient with Windows and MS applications such as Word, Excel, PowerPoint, and Outlook

Nice To Haves

Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree.
Advanced experience with Excel and Power BI a plus.
Certified Fraud Examiner (CFE) preferred

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