Regional Supervision Manager

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

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Job summary

Osaic is seeking a Regional Supervision Manager to oversee brokerage, advisory and direct transactions ensuring client interests align with firm policies. The role coordinates Outside Business Activities reviews, annual compliance requirements and staff collaboration to safeguard clients and the firm.

The position requires a minimum of three years in transaction reviews, FINRA schemas and strong analytical skills, with a hybrid in-office schedule at one of the listed hubs.

Qualifications

• Bachelor’s degree preferred; high school diploma or equivalent with significant practical experience will be considered.
• FINRA Series 7, 24 and Series 63/65 or 66 required.
• Understanding of relevant FINRA and SEC.
• Ability to handle multiple tasks in a fast-paced environment.
• Excellent analytical and problem-solving skills.

Responsibilities

• Review transactions and accounts for compliance and suitability.
• Coordinate with home-office staff and field supervisors on supervision matters.
• Monitor and enforce internal controls per firm policies and industry standards.
• Assist in educating and training affiliated Financial Professionals and staff.
• Serve as home-office liaison for supervision issues.

Skills

FINRA licensing knowledge

Regulatory compliance

Analytical skills

Financial services experience

Education

Bachelor’s degree preferred

High school diploma or equivalent

Job description

Overview

Field Supervision Opportunity in Financial Services

Regional Supervision Manager

Location

• 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 and Salary

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.

Benefits

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. To view more details of what you can look forward to, visit our careers page: careers.osaic.com/Creative/Benefits

Summary

The Regional Supervision Manager (RSM) is responsible for 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 in the review of Financial Professionals requests for approval of Outside Business Activities, Account Reviews/Acceptance and 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 practical experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Responsibilities

• Work with various engagement models to ensure the Supervision support is providing consistent, accurate and timely service.
• 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.).

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, Series 24 and 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)

Equal Opportunity Employer

Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Eligibility

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.

Unqualified Applications

Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Recruiting Agencies

Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.