Regional Supervision Lead – Financial Services

Osaic; La Vista (NE); 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 to oversee account reviews across brokerage, advisory and direct-held transactions, ensuring alignment with firm policies and client interests. The role will coordinate with compliance and supervision teams and support field staff in a hybrid model at hub locations including La Vista, NE.

Minimum requirements include a Bachelor’s degree or equivalent, three years of relevant experience, FINRA Series 7 and 24 or 63/65/66, plus strong analytical and

Qualifications

• Minimum three years related experience conducting suitability/best interest review of transactions.
• FINRA Series 7 required and series 24, 63/65 or 66 required.
• Understanding of relevant FINRA and SEC regulations.
• Ability to manage multiple tasks in a fast-paced team environment.
• Strong analytical and problem-solving skills.

Responsibilities

• Conduct transaction and account review for all transactions for direct reports.
• Ensure proper business and sales practices are followed by queue management.
• Monitor reports and enforce internal controls for compliance.
• Coordinate with Regional Supervision Team.
• Support education and training of new affiliated Financial Professionals and staff.
• Function as home office liaison for Financial Professionals on supervision issues.
• Identify risk-based reviews and take corrective action with the Supervision team.
• Collaborate on projects across departments and management to ensure project completion.

Skills

Regulatory compliance

Financial services knowledge

Analytical thinking

Communication skills

Education

Bachelor's degree

High school diploma

Job description

Osaic is seeking a Regional Supervision Manager to oversee account reviews across brokerage, advisory and direct-held transactions, ensuring alignment with firm policies and client interests. The role will coordinate with compliance and supervision teams and support field staff in a hybrid model at hub locations including La Vista, NE.

Minimum requirements include a Bachelor’s degree or equivalent, three years of relevant experience, FINRA Series 7 and 24 or 63/65/66, plus strong analytical and