Osaic

DevOps Engineer

• Lead a team of DevOps engineers in designing scalable, secure CI/CD pipelines using Azure DevOps
• Define DevOps standards, best practices, governance frameworks, and deployment workflows
• Partner with Architecture, Development, QA, and Cloud Engineering teams to streamline software delivery
• Drive Infrastructure-as-Code (IaC) adoption and cloud-native transformation
• Build and maintain CI/CD pipelines for .NET, Java, and microservices applications
• Automate build, testing, packaging, and deployment using Azure DevOps Pipelines (YAML and classic)
• Manage and optimize Windows Server environments, especially IIS web applications
• Deploy, manage, and monitor Azure services: App Services, VMs, AKS, ACR, Storage, Networking, Key Vault, etc.

Senior DevOps Engineer – Team Lead

Procurement

• Provide daily oversight of all supplier engagements, processes, systems throughout the supplier’s lifecycle
• Manage supplier intake with stakeholders on category of spend strategies
• Ensure supplier engagements have a complete cost of ownership and cost model for stakeholders
• Ensure supplier's contracts are aligned to the business’s requirements
• Provide oversight and direction with contracting, contract negotiations, contracting issues, TCO and cost models

Director of Sourcing – Supplier Management

Marketing

• Lead and support marketing strategy and omni-channel marketing campaigns that drive program growth and align with corporate initiatives.
• Create strong partnerships and collaborate with marketing teammates, business lines, compliance, and project stakeholders to create innovative campaigns.
• Develop compelling content for marketing campaigns and resources that can be tailored to different audiences and segments.
• Ability to work effectively under tight deadlines, multi-task wisely, accept constructive feedback and adjust project scope as needed to accomplish goals.
• Build a deep understanding of business programs and voice to help tell the Osaic story through compelling content and campaigns.
• Work on and incorporate overarching brand and marketing initiatives.

Senior Consultant – Marketing Strategy

Operations

• Lead a team of Operations Processing Specialists that will transition the business of new Osaic Financial Professionals.
• Set team goals, establish vision and take action to achieve goals.
• Effectively coach, in a diversity of ways, to drive team results for advisor satisfaction, service, quality, and productivity aligned to department objectives
• Provide timely coaching, training, and total performance management
• Have a keen focus on employee engagement while balancing productivity
• Develop and maintain internal relationships
• Identify and take responsibility for addressing operational and organizational challenges that impact the team
• Effectively adopt changing business needs and guide employees through shifting priorities
• Actively seek opportunities to expand own sphere of influence through networking, knowledge sharing, and collaboration

Operations Processing Supervisor – Transition

• Directly manage 10-15 employees within the Operations Department.
• Provide a high level of service and support to independent financial advisors nationwide.
• Must act as subject matter expert for several different responsibilities within brokerage Operations.
• Carry out manager duties in accordance with the organization’s policies and applicable laws.
• Responsible for the daily oversight of team personnel, workflow, processing procedures and problem resolution.
• Act as back-up to co-workers by cross-training on all department functions and demonstrate flexibility to respond to influx of workflow.
• Interact with clearing firm on routine brokerage account processing requests; provide timely updates and statuses in contact management and workflow systems
• Resolve complex escalations, make decisions and ensure prompt follow-up when needed
• Ensure all desktop procedures are accurate and up to date
• Provide performance feedback for performance reviews and assist with establishing meaningful and relevant performance objectives.
• Answer internal and external phone calls; make outbound phone calls to our advisors.
• Exercise judgment to know when to escalate issues to Sr. Leadership
• Flexibility is required to respond to increases in workflow.
• All other duties as assigned.

Operations Processing Manager – Cashiering

Compliance

• Monitor compliance with laws, rules and regulations
• Develop & manage AG’s RIA Compliance Program
• Coordinate and oversee the development, implementation and enforcement of policies, procedures and programs to minimize risk
• Prepare for and respond to regulatory inquiries, examinations, internal and external audits
• Represent RIA Compliance Department in cross functional Firm initiatives and committees
• Provide investment advisory compliance support to RIA subsidiaries of Osaic
• Research and resolve issues, provide recommendations, and escalate to senior management as needed
• Design, implement, and maintain a risk-based compliance testing program in accordance with Rule 206(4)-7 of the Investment Advisers Act of 1940.
• Develop and execute annual and periodic testing plans to evaluate the effectiveness of RIA compliance policies, procedures, and associated internal controls.
• Perform and oversee documented testing of key advisory risk areas, including but not limited to conflicts of interest, disclosures, best execution, trading practices, marketing/advertising, custody, cybersecurity, privacy, and personal trading.
• Evaluate testing results, identify control gaps or weaknesses, and ensure timely remediation, follow-up testing, and issue tracking.
• Prepare formal written testing reports, summaries, and workpapers supporting conclusions and management recommendations.
• Coordinate testing efforts with internal stakeholders (Legal, Supervision, Operations, Technology, Risk, and Internal Audit) to ensure comprehensive coverage and consistency.
• All other duties as assigned

IA Compliance Manager – Policies, Procedures, and Testing

Product Manager

• Own and execute the delivery backlog for AI products and experiences
• Own and prioritize the day-to-day backlog, keeping items well-defined and delivery-ready while aligning sequencing with AI Product and AI Experience leadership.
• Elicit requirements and write clear user stories with acceptance criteria
• Lead story mapping and write clear epics/features/stories with acceptance criteria, including AI quality/evaluation needs and required non-functional requirements (security, privacy, accessibility, performance).
• Support third-party vendor intake, review, and enablement
• Drive sprint readiness and agile delivery execution
• Coordinate cross-functional dependencies and integration handoffs
• Define test strategy, acceptance testing, and UAT for AI behavior and workflow outcomes
• Plan releases and support production readiness for AI capabilities
• Operate intake and continuous improvement loops from user feedback
• Instrument outcomes and report delivery/product health
• Ensure delivery aligns with responsible AI and regulatory requirements

AI Product Owner

Business Analyst

• Support Osaic’s strategic initiatives by developing and executing strategies to help financial professionals and employees adapt and absorb change
• Assess and document impact of a given change, including process, technical, behavioral/mindset
• Help define vision, benefit and key messages that will support the change objective
• Leverage existing and/or design customized strategies to support internal and external constituents through change as identified in impact assessments
• Partner with communications and training teams to ensure that the change management strategy is supported by those two critical components
• Track financial professional feedback and how it has / has not been actioned to demonstrate commitment to their voice and experience
• Coordinate early adopter / pilot groups to ensure our change management approach is supporting the appropriate perspectives and experiences

Change Management Analyst

Analyst

• Support the design, execution, and continuous improvement of compensation programs, including base pay, incentives, and recognition
• Serve as a trusted advisor to HR Business Partners and business leaders on offers, promotions, market adjustments, and pay decisions
• Provide practical, data-informed recommendations in a fast-moving, evolving environment
• Partner in the validation, refinement, and ongoing management of job architecture based on the McLagan framework
• Review and update job descriptions, job profiles, leveling, and job family assignments
• Conduct job evaluations, including FLSA classification and leveling alignment
• Benchmark roles using survey data and market intelligence to ensure external competitiveness
• Lead efforts to assess, clean, and standardize compensation and job data within Workday
• Identify data gaps, inconsistencies, and risks, and implement practical solutions to improve data quality
• Establish repeatable processes and governance for maintaining high-quality compensation data
• Partner with HRIS to improve system structure, data flows, and usability
• Build and enhance compensation reporting using advanced Excel and Workday reporting capabilities
• Develop scalable dashboards and visualizations (e.g., Power BI) to support decision-making
• Deliver actionable insights on trends such as pay equity, compression, retention risk, and market positioning
• Lead execution of the annual merit and bonus planning cycles
• Build models, tools, and reporting to support effective planning and budget alignment
• Partner with Finance and HR to ensure alignment between compensation decisions and financial targets
• Support design, modeling, and administration of incentive plans, including collaboration with Finance and Sales leadership
• Identify opportunities to streamline and automate compensation processes using analytics, tools, and emerging technologies
• Create clear, structured documentation for compensation programs, processes, and tools

Senior Compensation Analyst

• Prepare workpapers and consolidated federal & state corporate income tax returns
• Identify opportunities to minimize income tax liability
• Assist with the preparation of the monthly, quarterly, and year-end income tax provision calculations and associated journal entries, as well as supporting memos.
• Assist with the preparation of quarterly estimated tax payments
• Assist with the preparation of the company’s non-income tax returns, such as excise, sales/use, gross receipts, etc.
• Perform tax research and document tax positions
• Assists with income tax audits, notices, and other ad-hoc tax matters as the need arises

Tax Analyst

Vice President

• Responsible for driving sales strategy and financial planning adoption for a defined region of advisors
• Educating and promoting the benefits of fee-based business
• Facilitating adoption of the firm’s advisory technology
• Introducing appropriate investment managers based on the client’s needs
• Helping advisors grow their overall advisory businesses
• Executing a virtual regional strategy focused on managing the region’s top opportunities
• Drive impactful interactions and events
• Partnering with various investment management companies to deliver collateral and share leads
• Introducing and supporting advisors on various product offerings
• Reviewing and analyzing regional reports to prioritize existing and new prospects

Vice President, Regional Advisory Consultant

• Driving sales strategy and financial planning adoption for a defined region of advisors
• Educating and promoting the benefits of fee-based business
• Facilitating adoption of the firm’s advisory technology
• Introducing appropriate investment managers based on the client’s needs
• Scheduling individual 1:1 and regional meetings for the region
• Engaged with Marketing, Product, Platform, and Research teams to share content
• Executing a virtual regional strategy focused on managing the region’s top opportunities

• Lead comprehensive due diligence and approval processes for all investment products and platforms, including mutual funds, ETFs, SMAs, alternatives, structured products, annuities, insurance solutions, and advisory programs.
• Oversee quantitative and qualitative evaluation of product structure, performance, risk factors, liquidity, fees, operational complexity, sponsor strength, and suitability.
• Chair (or co-chair) the Product Review / Product Governance Committee; present clear, data-backed recommendations and decision rationale.
• Own diligence methodologies, scorecards, and documentation standards aligned to regulatory expectations and internal risk frameworks.
• Establish and manage ongoing product monitoring cycles, risk thresholds, escalation protocols, and remediation actions.
• Drive the modernization of the product due diligence function, leveraging technology, automation, and advanced analytics to improve speed, consistency, insight quality, and scalability.
• Serve as a senior subject matter expert during FINRA, SEC, DOL exams, audits, and internal reviews.

Vice President, Head of Product Due Diligence

• Process brokerage account documents with a high degree of accuracy and within established service level timelines
• Review incoming documentation for completeness
• Validate transactions against firm policies
• Identify and resolve discrepancies or errors prior to processing
• Ensure strict adherence to regulatory requirements
• Maintain precise records and audit trails for all processed transactions
• Prioritize workload effectively in a high-volume processing environment
• Collaborate with internal partners to clarify requests
• Continuously monitor for risk and escalate potential compliance issues
• Interact with financial advisors, clearing firms, custodians, and other external partners on routine and complex account transfer requests
• Provide timely and accurate status updates
• Build and maintain strong working relationships with vendors and stakeholders
• Remain current on changes to industry regulations and perform additional duties as assigned

Operations Processing Specialist

Consultant

• Provide leading service and support experiences for our advisors on WMP program and manager selection.
• Provide overflow assistance with inbound calls and inquiries from financial advisors via the internal sales queue.
• Analysis, create, and complete a business plan to move accounts effectively and seamlessly onto the WMP Platform.
• Serve as the primary point of contact for assets transitioning to the Wealth Management Platform.
• Able to collaborate seamlessly with various teams within Osaic to complete asset shift.
• Consistent and expedited follow-up on asset transition leads/opportunities as provided by other members of the Consulting Team.
• Accurately log and track all advisor interactions in the CRM system (Salesforce).
• Support advisor engagement campaigns by participating in outbound call efforts and promoting upcoming events.
• Develop working knowledge of the Wealth Management Platform, investment options, and advisory best practices.
• Collaborate with senior consultants to ensure a seamless handoff and high-quality advisor experience.
• Participate in regular team meetings and training sessions to enhance platform and sales expertise.

Senior DevOps Engineer – Team Lead

Director of Sourcing – Supplier Management

Senior Consultant – Marketing Strategy

Operations Processing Supervisor – Transition

Operations Processing Manager – Cashiering

IA Compliance Manager – Policies, Procedures, and Testing

AI Product Owner

Change Management Analyst

Senior Compensation Analyst

Tax Analyst

Vice President, Regional Advisory Consultant

Vice President, Regional Advisory Consultant

Vice President, Head of Product Due Diligence

Operations Processing Specialist

Internal Advisory Transitions Consultant