Regional Supervision Manager

About the role

The Regional Supervision Manager (RSM) oversees the review of Brokerage, Advisory and Directly held transactions within the back-office systems, ensuring they align with the client's best interests and firm policies. They also assist with the approval of Outside Business Activities, Account Reviews/Acceptance, and compliance with firm and industry requirements.

Responsibilities

• Work with various engagement models to provide consistent, accurate, and timely supervision support.
• Conduct transaction and account reviews for direct reports.
• Ensure adherence to business and sales practices through daily review of queue management reports.
• Maintain oversight of reports and enforce internal controls to ensure compliance with industry standards and firm policies.
• Collaborate with the Regional Supervision Team to coordinate efforts and address compliance issues.
• Maintain positive relationships with Financial Professionals, guiding them on policies and procedures.
• Support the education and training of new Financial Professionals, delegates, and staff.
• Act as the primary point of contact for Financial Professionals regarding supervision issues.
• Identify and assess risk-based reviews for violations and take corrective actions as necessary.
• Participate in and manage delegated and collaborative projects across departments and upper management, including tracking projects like Outside Business Activity Questionnaires, 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.
• FINRA Series 7, Series 24 and Series 63/65 or 66 required.
• Understanding of FINRA and SEC regulations.
• Excellent analytical and problem-solving skills.

Qualifications

• Bachelor’s degree preferred, or high school diploma with significant practical experience in lieu of degree.
• Minimum high school diploma or equivalent.

Skills

• Strong analytical and problem-solving skills.
• Ability to prioritize and manage multiple tasks in a fast-paced environment.
• Effective communication and interpersonal skills.
• Knowledge of FINRA and SEC regulations.

Benefits

Our competitive compensation includes a salary range of $70,000 - $80,000 per year plus an annual bonus. Additional benefits include health, vision, dental insurance, 401(k), paid time off, volunteer days, and more. For more details, visit our careers page: here.

Pay

$70,000 - $80,000 per year + annual bonus

Schedule

Hybrid schedule requiring a minimum of 4 days weekly in the office.