Field Supervision Opportunity in Financial Services
Regional Supervision Manager
Preferred Location(s):
2300 Windy Ridge Parkway, Atlanta, GA 30339
877 Executive Center Drive West, St. Petersburg, FL 33702
7755 Third Street North, Oakdale, MN 55128
12325 Port Grace Boulevard, La Vista, NE 68128
18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
Schedule: Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants must be willing to work this schedule.
Role Type: Full-Time
Salary: $65,000 - $75,000 per year + annual bonus
- Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and education.
- Our competitive salaries are just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, vacation and sick time, volunteer days and much more.
- To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits
Summary:
The Regional Supervision Manager (RSM) is responsible for the review of Brokerage, Advisory and Directly held transactions as presented within the back-office systems; ensuring those transactions are in the client’s best interest, based on stated firm policies and procedures. The Regional Supervision Manager will also assist in the review of Financial Professionals requests for approval of Outside Business Activities, Account Reviews/Acceptance and completion of annual firm requirements such as the Annual Compliance Meeting, Annual Compliance Questionnaire and Firm Element requirements. The RSM will help coordinate efforts between other home office staff members to ensure business is processed in accordance with the firm's policies and procedures to protect the client, the firm and Field Supervisors.
Responsibilities:
- 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.).
Education Requirements:
- Bachelor’s Degree Preferred. High school diploma (or equivalent) in combination with experience will be considered in lieu of degree.
Basic 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 required and series 24, 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.
Preferred Requirements:
- FINRA Series 4 and or/53 (could be obtained at a later date)
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What We Do
Osaic provides the support, resources, and community designed for the future of wealth management.
Securities and investment advisory services are offered through the firms: Osaic Wealth, Inc., Osaic Institutions, Inc., Osaic FA, Inc., Osaic FS, Inc., and Triad Advisors, LLC, broker-dealers, registered investment advisers, and members of FINRA and SIPC. Securities are offered through Securities America, Inc., American Portfolios Financial Services, Inc., Osaic Services Inc., and Ladenburg Thalmann & Co., broker-dealers and member of FINRA and SIPC. Advisory services are offered through Arbor Point Advisors, LLC, American Portfolios Advisors, Inc., Ladenburg Thalmann Asset Management, Inc., Osaic Advisory Services, LLC, and Securities America Advisors, Inc., registered investment advisers. Advisory programs offered by Osaic Wealth, Inc., Securities America Advisors, Inc., and Triad Advisors, LLC., are sponsored by VISION2020 Wealth Management Corp., an affiliated registered investment adviser.
