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Regional Supervision Manager at Osaic - ApplyBlast

Regional Supervision Manager

Osaic

4 months ago

2.6 on Glassdoor

Scottsdale, AZ

Hybrid

Full Time

Senior

0 applicants

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About this role

The Regional Supervision Manager reviews brokerage, advisory, and direct transactions to ensure they align with client best interests and firm policies. This role assists with financial professional approvals, annual compliance requirements, and coordinates efforts between home office staff and field supervisors. The manager acts as a liaison for supervision issues while identifying risks and enforcing internal controls to maintain regulatory compliance.

Responsibilities

Review brokerage and advisory transactions for compliance
Ensure proper business practices through queue management
Monitor reports to enforce internal controls
Coordinate annual compliance meetings and questionnaires
Identify risk-based reviews and take corrective action

Skills

Qualifications

FINRA Series 7FINRA Series 24FINRA Series 63 or 66Bachelor's degreeThree years of related experience

About Osaic

osaic.com

Headquarters

Scottsdale, Arizona, United States

Company Size

1001-5000 employees

Founded

2016

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Osaic is one of the nation’s largest providers of wealth management solutions and home to a service-driven community of Financial Professionals. The moments our Advisors create with clients inspire us and shape our strategy to empower their success.