Regional Supervision Manager

About the role

Osaic is hiring a Regional Supervision Manager (RSM) in financial services, working from one of its hubs (Atlanta, La Vista, Oakdale, Scottsdale or St. Petersburg). The RSM reviews brokerage, advisory and directly held transactions in the back-office systems to make sure they are in the client's best interest according to firm policy, and helps with approvals for outside business activities, account reviews and annual compliance requirements. The role is full-time, paid $70,000-$80,000 per year plus an annual bonus, with a hybrid schedule of at least four days a week in the office.

Key responsibilities

• Review transactions and accounts for direct reports and ensure proper business and sales practices through daily review of queue management reports.
• Monitor reports and enforce internal controls so that business complies with industry standards and firm policies.
• Support the education, development and training of new Financial Professionals, delegates and staff on broker-dealer policies and procedures.
• Act as home office liaison and main contact for Financial Professionals on supervision issues.
• Identify risk-based reviews of findings that violate department guidelines and take corrective action with the supervision and compliance teams.
• Track delegated projects such as Outside Business Activity questionnaires, annual compliance meetings, firm element continuing education and annual representative renewals.
• Collaborate with the regional supervision team and act as a guide and resource for OSJ managers and support staff.

Required profile

• Minimum three years of related experience reviewing transactions for suitability and best interest, or relevant industry experience.
• Bachelor's degree preferred; a high school diploma or equivalent with significant practical experience may be considered instead.
• FINRA Series 7, Series 24 and Series 63/65 or 66 required; Series 4 and/or 53 preferred (can be obtained later).
• Understanding of relevant FINRA and SEC rules.

What we offer

• Annual bonus in addition to base pay.
• Health, vision and dental insurance, 401k, paid time away and volunteer days.