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. This role also assists in reviewing Financial Professionals' requests for Outside Business Activities, Account Reviews/Acceptance, and compliance with firm 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 comply with industry standards and firm policies.
• Collaborate with the Regional Supervision Team to coordinate efforts and maintain compliance.
• Support newly affiliated Financial Professionals, delegates, and staff with policies and procedures.
• Act as a liaison and primary point of contact for Financial Professionals regarding supervision issues.
• Identify and assess risk-based reviews for violations and implement corrective actions.
• Participate in and track projects across all departments, including Outside Business Activity Questionnaires, Annual Compliance Meetings, Firm Element Continuing Education, Annual Representative Renewals, etc.

Requirements

• Minimum three years of related experience conducting suitability/best interest reviews 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, high school diploma with significant practical experience may be considered in lieu of degree.
• Minimum high school diploma or equivalent required.

Skills

• Strong analytical and problem-solving skills.
• Effective communication and interpersonal skills.
• Ability to manage multiple tasks in a fast-paced environment.
• 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: https://careers.osaic.com/Creative/Benefits.

Pay

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

Schedule

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