Regional Supervision Manager

About the role

Osaic is hiring a Regional Supervision Manager (RSM) in its financial services field supervision function. The RSM is responsible for account reviews and acceptance, and for reviewing brokerage, advisory and directly held transactions in the back-office systems so they are in the client's best interest according to firm policy. The role also supports annual firm requirements such as the Annual Compliance Meeting, Annual Compliance Questionnaire and Firm Element requirements, and coordinates with home office staff to protect clients, the firm and field supervisors. The position 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

• Conduct transaction and account reviews for all transactions of direct reports.
• Review queue management reports daily to ensure proper business and sales practices.
• Monitor reports and enforce internal controls to ensure compliance with industry standards and firm policies.
• Collaborate with the Regional Supervision Team and act as a guide and resource to OSJ Managers and support staff, communicating firm policies proactively.
• 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 primary contact for Financial Professionals on supervision issues.
• Identify and assess risk-based reviews for violations of department guidelines and take corrective action with the Supervision and Compliance teams.
• Work on delegated projects across departments and with upper management, such as Outside Business Activity Questionnaires, Annual Compliance Meetings, Firm Element Continuing Education and Annual Representative Renewals.

Required profile

• Bachelor's degree preferred; a high school diploma (or equivalent) with significant experience may be considered instead.
• Minimum of three years of related experience in suitability/best-interest review of transactions or relevant industry experience.
• Understanding of current products and procedures.
• Ability to handle and prioritize multiple tasks in a fast-paced, time-sensitive environment.
• Excellent analytical and problem-solving skills.

Required skills

• FINRA Series 7 required.
• Series 24, Series 63/65 or 66 required.
• Understanding of relevant FINRA and SEC regulations.
• Preferred: FINRA Series 4 and/or 53 (can be obtained later).

What we offer

• Salary of $70,000-$80,000 per year plus an annual bonus.
• Health, vision and dental insurance, 401k, paid time away and volunteer days.