Hybrid Regional Supervision Manager

at Osaic

• Job title: Regional Supervision Manager
• Job type: Full Time
• Experience level: Mid level, Senior
• Salary: $70,000 - $80,000 per year
• Degree requirement: Bachelor's Degree
• Location requirements: Hybrid, Scottsdale, United States

About the role

• Regional Supervision Manager overseeing brokerage and advisory transactions for financial services. Ensuring compliance with firm policies and supporting Financial Professionals in supervision.

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.).

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.

Benefits

• health, vision, dental insurance
• 401k
• paid time away
• volunteer days
• annual bonus