Regional Supervision Manager

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

Job summary

Osaic is seeking a Regional Supervision Manager to oversee transaction reviews and ensure compliance with firm policies across brokerage, advisory and direct channels. The role emphasizes collaboration with home-office and field staff to protect clients and the firm.

Education preferred is a Bachelor’s degree; high school diploma with experience is acceptable. The position is full-time with a hybrid schedule requiring four days in the office weekly at a hub location.

Qualifications

• Minimum three years related experience conducting suitability/best interest review of transactions.
• FINRA Series 7 required and series 24, Series 63/65 or 66 required
• Understanding of relevant FINRA and SEC.
• Ability to work in a time-sensitive, fast-paced team environment to meet deadlines.
• Excellent analytical and problem-solving skills.
• Preferred: FINRA Series 4 and/or 53 (could be obtained later)

Responsibilities

• Conduct transaction and account review for all transactions for direct reports.
• Ensure proper business and sales practices are followed by daily queue management reviews.
• Monitor reports and enforce internal controls for compliance with industry standards and firm policies.
• Collaborate with Regional Supervision Team.
• Maintain positive relationships, guiding OSJ Managers and staff with policies and procedures.
• Support education and training of affiliated Financial Professionals and staff.
• Serve as home office liaison and primary contact for supervision issues.
• Identify and assess risk-based reviews and take corrective action as needed.
• Work on delegated and collaborative projects across departments.

Skills

Analytical skills

Problem-solving

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 Careers

Field Supervision Opportunity in Financial Services

Regional Supervision Manager

Location(s):

• Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339
• La Vista:12325 Port Grace Blvd, La Vista, NE 68128
• Oakdale: 7755 3rd St. N, Oakdale, MN 55128
• Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
• St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.

Role Type: Full-time

Salary: $70,000 - $80,000 per year + annual bonus. Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more.

Summary: The Regional Supervision Manager (RSM) is responsible for Account Reviews/Acceptance and the review of Brokerage, Advisory and Directly held transactions as presented within the back-office systems; ensuring those transactions are in the client's best interest, based on stated firm policies and procedures. The Regional Supervision Manager will also assist on the completion of annual firm requirements such as the Annual Compliance Meeting, Annual Compliance Questionnaire and Firm Element requirements. The RSM will help coordinate efforts between other home office staff members to ensure business is processed in accordance with the firm's policies and procedures to protect the client, the firm and Field Supervisors.

Education Requirements: Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

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.

Basic Requirements:

• 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.
• Ability to effectively handle and prioritize multiple tasks in a fast-paced team environment to meet defined deadlines.
• Ability to work in a time-sensitive environment.
• Excellent analytical and problem-solving skills.

Preferred Requirements:

• FINRA Series 4 and/or 53 (could be obtained at a later date)