Regional Financial Compliance Supervisor

Osaic; Scottsdale (AZ); Hybrid; USD 70,000 - 80,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time off

Volunteer days

Job summary

Osaic is seeking a Regional Supervision Manager for our Scottsdale hub to oversee account reviews and the supervision of brokerage, advisory and directly held transactions to protect clients and the firm.

This role requires FINRA licenses and strong analytical skills, with cross‑functional collaboration across Compliance, Supervision and field teams. It offers a hybrid schedule with four in‑office days weekly.

Qualifications

• Minimum three years related experience in suitability/best interest reviews.
• FINRA Series 7 required; Series 24, 63/65 or 66 required.
• Understanding of FINRA and SEC regulations.
• Ability to manage multiple tasks in a fast-paced environment.

Responsibilities

• Conduct transaction and account reviews for direct reports.
• Review queue management reports for proper practices.
• Monitor reports and enforce internal controls.
• Coordinate with Regional Supervision Team.
• Support education and training of affiliated Financial Professionals.
• Serve as home office liaison for Financial Professionals on supervision issues.
• Identify risk-based reviews and take corrective action.
• Lead projects with departments and upper management to ensure completeness.

Skills

Analytical skills

Problem solving

Multitasking

Education

Bachelor’s degree preferred

High school diploma or equivalent

Tools

FINRA Series 7

FINRA Series 24

FINRA Series 63/65/66

FINRA Series 4

FINRA Series 53

Job description

Osaic is seeking a Regional Supervision Manager for our Scottsdale hub to oversee account reviews and the supervision of brokerage, advisory and directly held transactions to protect clients and the firm.

This role requires FINRA licenses and strong analytical skills, with cross‑functional collaboration across Compliance, Supervision and field teams. It offers a hybrid schedule with four in‑office days weekly.