Regional Compliance & Supervision Leader

Osaic; Oakdale (MN); Hybrid; USD 70,000 - 80,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time away

Volunteer days

Career development

Job summary

Osaic is seeking a Regional Supervision Manager to oversee account reviews and brokerage/ advisory transaction oversight across our back-office platforms. You will ensure client interests align with firm policies and coordinate with home office staff to maintain compliance and efficiency.

The role requires three years of related experience and FINRA licenses (7, 24, 63/65/66). This is a full-time, hybrid position based in our hub locations with a competitive benefits package.

Qualifications

• Minimum three years related experience conducting suitability/best interest review of transactions or relevant industry experience understanding current products and procedures.
• FINRA series 7 required and series 24, Series 63/65 or 66 required.
• Understanding of relevant FINRA and SEC.

Responsibilities

• Conduct transaction and account review for all transactions for direct reports.
• Ensure proper business and sales practices are followed by the daily review of queue management reports.
• Monitor reports and enforce internal controls to ensure compliance with industry standards and the firm’s policies and procedures.
• Collaboration with Regional Supervision Team.
• Maintains ongoing positive relationships, acting as a guide and resource to all OSJ Managers and support staff in collaboration with Supervision, Compliance and other field-facing partners while ensuring understanding and compliance with all firm and industry requirements by proactively communicating the firm’s policies and procedures.
• Supports the education, development and training of newly affiliated Financial Professionals, delegates, and staff with regards to broker dealer policies and procedures.
• Functions as the home office liaison and primary contact for Financial Professionals on supervision issues.
• Identify and assess risk-based reviews for findings deemed to be in violation of the department’s current guidelines and takes appropriate corrective action as needed in collaboration with others on the Supervision team and Compliance.
• Works on delegated and collaborative projects with all departments and upper management to include the tracking of said projects to ensure completeness (i.e. Outside Business Activity Questionnaire, Annual Compliance Meetings, Firm Element Continuing Education, Annual Representative Renewals, etc.).
• All other duties as assigned.

Skills

FINRA Series 7

FINRA Series 24

FINRA Series 63/65/66

Regulatory knowledge

Analytical skills

Education

Bachelor’s degree preferred

Job description

Osaic is seeking a Regional Supervision Manager to oversee account reviews and brokerage/ advisory transaction oversight across our back-office platforms. You will ensure client interests align with firm policies and coordinate with home office staff to maintain compliance and efficiency.

The role requires three years of related experience and FINRA licenses (7, 24, 63/65/66). This is a full-time, hybrid position based in our hub locations with a competitive benefits package.