Regional Supervision Manager (Hybrid)

Advisor Group Inc.; Atlanta (GA); On-site; 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 (RSM) to oversee account reviews, acceptance testing, and transaction reviews across Brokerage, Advisory and Direct accounts. You will ensure activities align with firm policies and regulatory requirements, coordinating with home office staff to protect clients and the firm.

Bachelor’s degree preferred; 3+ years in suitability reviews; FINRA Series 7 and 24 or 63/65/66 required.

Qualifications

• 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.

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...

Skills

FINRA Series 7

FINRA Series 24

FINRA Series 63/65/66

Analytical skills

Time management

Education

Bachelor’s degree preferred

Job description

Osaic is seeking a Regional Supervision Manager (RSM) to oversee account reviews, acceptance testing, and transaction reviews across Brokerage, Advisory and Direct accounts. You will ensure activities align with firm policies and regulatory requirements, coordinating with home office staff to protect clients and the firm.

Bachelor’s degree preferred; 3+ years in suitability reviews; FINRA Series 7 and 24 or 63/65/66 required.