Regional Compliance & Supervision Manager

Advisor Group Inc.; Scottsdale (AZ); On-site; USD 70,000 - 80,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401(k)

Paid time away

Volunteer days

Job summary

Advisor Group Inc. is seeking a Regional Supervision Manager in Scottsdale, AZ. This full-time role involves reviewing brokerage and advisory transactions, ensuring client interests are prioritized while confirming compliance with firm policies.

The ideal candidate will possess at least three years of relevant experience and required FINRA licenses. They will collaborate closely with various teams to maintain compliance and support the education of personnel.

Qualifications

• Minimum three years related experience conducting suitability/best-interests review of transactions.
• FINRA Series 7, 24, and 63/65 or 66 required.
• Strong analytical and problem-solving skills.

Responsibilities

• Conduct transaction and account reviews for direct reports.
• Monitor reports and enforce internal controls.
• Collaborate with the Regional Supervision Team for compliance.

Skills

Analytical skills

Problem-solving skills

Ability to handle multiple tasks

Education

Bachelor's degree

High school diploma or equivalent

Tools

FINRA Series 7

FINRA Series 24

FINRA Series 63/65

Series 4 (preferred)

Series 53 (preferred)

Job description

Advisor Group Inc. is seeking a Regional Supervision Manager in Scottsdale, AZ. This full-time role involves reviewing brokerage and advisory transactions, ensuring client interests are prioritized while confirming compliance with firm policies.

The ideal candidate will possess at least three years of relevant experience and required FINRA licenses. They will collaborate closely with various teams to maintain compliance and support the education of personnel.