The ideal candidate will have (1) a successful RIA compliance track record, with meaningful broker-dealer compliance exposure; (2) demonstrated experience supporting advisory business across a multi-custodial platform; (3) experience in the employee-advisor RIA model, including due diligence processes and compliance oversight; (4) the ability to design and mature a compliance program that appropriately distinguishes between employee and independent contractor business models; (5) significant experience interacting with regulators and organizational leadership; (6) broad experience with the regulation of investment advisers and familiarity with applicable FINRA requirements; (7) a proven ability to design and implement channel-specific compliance controls, escalation paths, operating procedures and oversight routines; (8) the ability to develop program-level metrics and executive reporting for management and governance forums; and (9) familiarity with industry trends and leading advisory compliance technology. The VP will report to Osaic's SVP of IA Compliance and will work closely and collaboratively with channel leadership and compliance partners to enhance channel-specific policy and procedure design, compliance training, surveillance coordination, due diligence and oversight processes, regulatory examination support, management of strategic projects, and advising Osaic personnel regarding applicable rules, regulations and compliance policies, with a focus on applying appropriate controls to advisory-heavy businesses.