Regional 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

Locations

• Atlanta: 2300 Windy Ridge Pkwy SE, Suite 750, 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

Role Type

Full-time

Compensation

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

Benefits include health, vision, dental insurance, 401(k), paid time away, volunteer days, and more.

Summary

The Regional Supervision Manager (RSM) reviews Brokerage, Advisory, and Directly held transactions within the back-office systems, ensuring transactions are in the client’s best interest and comply with firm policies and procedures. The RSM also assists in review of Financial Professionals’ requests for outside business activities, account reviews, and completion of annual firm requirements such as the Annual Compliance Meeting, Annual Compliance Questionnaire and firm-element requirements.

Responsibilities

• Work with various engagement models to provide consistent, accurate, and timely supervision support.
• Conduct transaction and account reviews for direct reports; review queue management reports for proper business and sales practices.
• Monitor reports and enforce internal controls to ensure compliance with industry standards and firm policies.
• Collaborate with the Regional Supervision Team and other home office staff to ensure business is processed in accordance with firm policies.
• Maintain positive relationships with OSJ Managers, support staff, Compliance, and other partners, proactively communicating policies and procedures.
• Support education, development, and training of newly affiliated Financial Professionals, delegates, and staff regarding broker dealer policies and procedures.
• Act as home office liaison and primary contact for Financial Professionals on supervision issues.
• Identify and assess risk-based reviews for findings that violate departmental guidelines and take corrective action with the supervision team and compliance.
• Work on delegated and collaborative projects with all departments and upper management, tracking completion of projects such as OBA Questionnaire, Annual Compliance Meetings, Firm Element Continuing Education, and Annual Representative Renewals.

Education & Experience

Preferred: Bachelor’s degree. Minimum: High school diploma or equivalent combined with significant practical experience may be considered.

Qualifications

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

Preferred Requirements

• FINRA Series 4 and/or 53 (or ability to obtain at a later date).