Hybrid Regional Supervision Lead – Finance & Compliance

Osaic; Atlanta (GA); Hybrid; USD 70,000 - 80,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401(k) plan

Paid time off

Job summary

Osaic is looking for a Regional Supervision Manager in Atlanta to oversee brokerage and advisory transactions ensuring compliance with firm policies. This role requires working in a hybrid model, with a minimum of 4 days a week in the office.

The ideal candidate will have at least three years of experience in a related role, strong understanding of FINRA regulations, and the necessary securities licenses. Benefits include health, dental, and vision insurance, as well as 401(k) and paid time off.

Qualifications

• Minimum three years related experience in transactions review.
• Understanding of FINRA and SEC regulations.
• Excellent analytical and problem-solving skills.

Responsibilities

• Ensure consistent and accurate supervision support.
• Conduct transaction and account reviews.
• Monitor compliance with firm policies and industry standards.
• Provide guidance to OSJ Managers and support staff.

Skills

Transaction review

Regulatory compliance

Analytical skills

Multi-tasking

Education

Bachelor's degree preferred

High school diploma or equivalent

Tools

FINRA Series 7

FINRA Series 24

FINRA Series 63/65 or 66

Job description

Osaic is looking for a Regional Supervision Manager in Atlanta to oversee brokerage and advisory transactions ensuring compliance with firm policies. This role requires working in a hybrid model, with a minimum of 4 days a week in the office.

The ideal candidate will have at least three years of experience in a related role, strong understanding of FINRA regulations, and the necessary securities licenses. Benefits include health, dental, and vision insurance, as well as 401(k) and paid time off.