Sign up to access all features of our service.
  • Job search
  • Favorites
  • Create a CV
    New
  • Salaries
  • Subscriptions

VP, Channel Compliance — Advisory & BD Oversight

Advisor Group Inc.

Osaic is seeking a VP of Advisors Channel Compliance to lead cross‑functional compliance for broker‑dealer and investment adviser activities. The role emphasizes policy design, risk oversight, and regulatory guidance across the Empowered Independence channel. The ideal candidate will have extensive RIA compliance experience, strong interaction with regulators and leadership, and the ability to implement channel‑specific controls and metrics. #J-18808-Ljbffr Advisor Group Inc.

Vacancy posted 3 days ago
Similar jobs that could be interesting for youBased on the VP, Channel Compliance — Advisory & BD Oversight in Scottsdale, AZ vacancy
  • Osaic is seeking a VP, Osaic Advisors Channel Compliance, to lead compliance for Empowered Independence across IA and BD activities. The role reports to SVP of IA Compliance...  ...to design policies, procedures, and oversight for advisory-heavy business. The candidate will bring... 
    Bd

    Osaic

    Scottsdale, AZ
    3 days ago
  • $170k - $200k

    Compliance Leadership Opportunity in Financial Services VP, Osaic Advisors Channel Compliance Location(s) Atlanta: 2300 Windy...  ...will include both BD and IA compliance considerations...  ...is primarily advisory in nature through...  ..., due diligence and oversight processes,... 
    Bd
    Full time
    For contractors
    Work at office
    Shift work

    Osaic

    Scottsdale, AZ
    3 days ago
  •  ...a rapidly growing professional services organization seeking a senior tax leader to oversee and scale a client-focused tax advisory and compliance practice. This executive-level role will lead tax operations, client service delivery, strategic planning, and team development... 
    Suggested
    Full time
    Local area
    Worldwide

    Dexian

    Scottsdale, AZ
    2 days ago
  •  ...reporting directly to the CEO, with direct oversight of our Business Development and Account...  ...Build, mentor, and manage high-performing BD and AM teams , ensuring alignment with...  ...background check in an effort to ensure compliance with public law 101-630 "Indian child protection... 
    Bd
    Contract work
    Immediate start
    Night shift

    TribalEM

    Scottsdale, AZ
    4 days ago
  •  ...will own the performance and evolution of the company’s digital storefront, subscription commerce, marketplace channels, and overall eCommerce strategy. The VP will be accountable for driving digital revenue while improving the end-to-end customer experience—from... 
    Suggested
    Full time

    Prosum

    Scottsdale, AZ
    5 hours ago
  •  ...exciting period of rapid expansion. The VP of Finance & Accounting will lead and rebuild...  ...high-volume transactions across channels such as Amazon, Shopify, and/or other major...  ...paced, evolving environment with limited oversight ~ Ability and willingness to work onsite... 
    Full time

    CarterPierce, INC.

    Scottsdale, AZ
    4 days ago
  •  ...service center. Reporting to the Senior Vice President of Care, Compliance and People, this leader oversees talent acquisition, employee...  .... Employee Relations and Compliance · Provide oversight and coaching on investigations, corrective action, performance... 

    Cogir Management, USA Inc

    Scottsdale, AZ
    2 days ago
  •  ...technology platform that is in the process of scaling rapidly. We partner with Financial Advisors, Registered Investment Advisory (RIA) firms, and Broker-Dealer (BD) firms to provide innovative technology solutions for the wealth management space. Our mission is to empower... 
    Bd
    Full time
    Part time
    Internship
    Local area
    Relocation

    Davis Talent Search (Payments, Wealth Management, Fintech, C...

    Scottsdale, AZ
    5 hours ago
  •  ...interesting colleagues and the satisfaction of supporting our communities.  Together, there’s no stopping you! Job Title: VP, Treasury Management Job Description: Summary: Develop new business and provide support to bank prospects and clients. Make... 
    Full time
    Local area

    Enterprise Bank and Trust

    Scottsdale, AZ
    20 days ago
  • $82.13k - $101.29k

     ...payroll tax APIs and software tools allows companies to solve tax compliance issues and build applications across the entirety of the payroll...  ...Here's what we're looking for: ~4+ years supporting VP-level or above executives, including calendaring for multiple executives... 
    For contractors
    Work at office
    Local area
    Shift work
    2 days per week
    3 days per week

    Symmetry

    Scottsdale, AZ
    2 days ago
  •  ...control weaknesses, or concentration areas across business units.Support governance activities such as risk committee meetings, compliance reviews, and exam preparation.Stakeholder EngagementAct as a trusted advisor to business leaders, risk partners, compliance, internal... 
    Full time
    Work experience placement

    Vanguard

    Scottsdale, AZ
    3 days ago
  •  ...delivery advisor for complex modernization programs, providing oversight of outcomes, governance, financial performance, risk, and...  ...encompassing contact center platforms, CRM systems, self-service digital channels, workforce management tools, omnichannel customer engagement,... 
    Full time
    Work experience placement
    Live in
    Work at office
    Local area

    Accenture

    Scottsdale, AZ
    21 hours ago
  •  ...complex employee relations, performance, organizational, and talent matters, balancing business needs, employee experience, risk, and compliance.Champion a high-performance culture focused on accountability, engagement, continuous improvement, and leadership excellence.... 
    Permanent employment
    Worldwide
    Flexible hours

    DallsAirmotive

    Scottsdale, AZ
    1 day ago
  •  ...the ground up, ensuring clarity, cohesion, compliance, and readiness for rapid executive...  ...structures, and cross-executive coordination channels. Support initial alignment between CSO/EVP...  ...as: Former CAO, COO, Chief of Staff, or VP of Operations in an early-stage or high‑... 
    Permanent employment
    Full time
    Temporary work
    For contractors
    Remote work
    10 hours per week

    Klaritee

    Scottsdale, AZ
    4 days ago
  • $225k - $290k

     ...accounting across all entities: general ledger, revenue recognition on advisory fee billing, payroll, accounts payable, and multi-entity...  ...books of business against the original underwriting Compliance and external partners Partner with the Chief Compliance... 
    Temporary work
    Work at office

    Trajan Wealth LLC

    Scottsdale, AZ
    3 days ago
  • $400k

     ...these divisions has its own special procedures and systems for patient flow and scheduling, quality monitoring and maintenance, and compliance with standards and regulations. Currently, we have 24 radiologists in the Phoenix Radiology department, providing subspecialty... 
    Contract work
    Freelance
    Work at office
    Local area
    Relocation package

    Department of Veterans Affairs

    Scottsdale, AZ
    3 days ago
  •  ...VP Of Land DevelopmentThe VP of Land Development is responsible for leading the Land Development team and opening new communities...  ...homebuilding operations. This includes but is not limited to all required oversight of land development activities, acceptance by municipalities and... 
    For contractors
    Local area

    Spaulding Academy & Family Services

    Scottsdale, AZ
    5 days ago
  •  ..., creatively, and authentically. • Develop a coordinated marketing strategy aligned with our core values. • Provide strategic oversight of social media and digital communications • Oversee open houses, prospective family events, family camp, New Camper Weekend, and... 
    Full time
    Summer work
    Local area
    Weekend work

    Congregation Beth Israel, Scottsdale

    Scottsdale, AZ
    21 hours ago
  •  ...directly to the CEO and working in close partnership with the COO, the VP, Strategic Growth acts as the bridge between strategy and...  ...evaluate new business opportunities, partnerships, and revenue channels. Support expansion initiatives, joint ventures, and growth-focused... 

    Home Smart

    Scottsdale, AZ
    5 days ago
  • $80k - $105k

     ...— direct lenders, marketplaces, and aggregators Own the full BD cycle: prospecting through contracting and launch Negotiate pricing...  ...rates, and payment reliability Verify lender licensing and compliance by state Report on revenue per lead and margin by partner and... 
    Bd
    Contract work
    Work at office
    Shift work
    3 days per week

    Max Cash

    Scottsdale, AZ
    19 days ago
  •  ...Center Scottsdale seeks an Executive Director to oversee operations, financial performance, regulatory compliance, and team leadership. This role reports to the VP of Outpatient Operations and drives strategic growth and service excellence. The ideal candidate has strong... 

    Meadows-Behavioral-Healthcare

    Scottsdale, AZ
    3 days ago
  •  ...Executive Director to provide strategic and operational leadership for the campus. You will drive financial management, regulatory compliance, and service excellence while developing high-performing teams and guiding growth initiatives. The ideal candidate will bring... 

    Meadows of Wickenburg

    Scottsdale, AZ
    4 days ago
  • Gallagher in Scottsdale, AZ is seeking a sales professional to develop and acquire new business revenue with emphasis on small to mid-size clients. You’ll provide service to clients according to their needs and retain them as clients. You will participate in team sales ...

    Gallagher

    Scottsdale, AZ
    2 days ago
  •  ...clinical trial budgets. This role provides advanced financial and compliance expertise, ensuring alignment with institutional objectives,...  ...business operations. ESSENTIAL FUNCTIONS Expert Budget Oversight & Negotiation: Lead development and negotiation of complex... 

    HonorHealth Research Institute

    Scottsdale, AZ
    2 days ago
  • $200k - $250k

     ...Enhancement Group is seeking a Vice President, Financial Advisor to join a growing team serving clients referred through custodial channels. This remote role is based out of the Phoenix, AZ metro area with a flexible schedule including onsite meetings. The position... 
    Remote job
    Flexible hours

    Wealth Enhancement Group, LLC

    Scottsdale, AZ
    5 days ago
  • $200k - $220k

    Osaic Careers Technology Opportunity in Financial Services VP Enterprise Architecture 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: 1... 
    Full time
    Work at office

    Jobleads-US

    Scottsdale, AZ
    2 days ago
  • Associa is seeking a high-performing sales leader to drive strategic growth and market expansion across North America. You will own the territory, lead opportunities with HOA boards, developers and partners, and collaborate with senior leadership and marketing to generate...
    Bd

    Associa

    Scottsdale, AZ
    19 hours ago
  •  ...President will also be involved in business development, ensuring compliance with regulatory standards, and acting as a key representative...  ...team, active participation in medical staff committees, and oversight of staff to ensure optimal performance and development. The... 

    Confidential

    Scottsdale, AZ
    19 hours ago
  • Mercer Advisors is seeking a Regional Vice President to build client relationships and drive wealth management solutions in a client-focused, collaborative environment. You will engage prospects via Zoom, phone, and in person, delivering tailored advice and managing the...

    Mercer Advisors

    Scottsdale, AZ
    5 days ago
  • $250k - $350k

     ...CPA license, 10+ years of progressive public accounting or tax advisory experience, and 5+ years of leadership experience. Candidates...  ...-market organizations. Oversee business and individual tax compliance, estimates, filings, planning, and advisory work while maintaining... 

    Orion Placement

    Scottsdale, AZ
    2 days ago

Do you want to receive more vacancies?

Subscribe and receive similar vacancies to VP, Channel Compliance — Advisory & BD Oversight. Be the first to apply!