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Regional Supervision Manager at Osaic - ApplyBlast

Regional Supervision Manager

Osaic

3 months ago

2.6 on Glassdoor

Atlanta, Georgia, United States

Hybrid

Full Time

Manager

1 applicant

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About this role

The Regional Supervision Manager oversees the review of brokerage, advisory, and directly held transactions to ensure they meet client best‑interest standards and firm policies. The role coordinates with field supervisors, compliance staff, and other home‑office teams to manage transaction reviews, outside business activity approvals, and annual compliance requirements while maintaining strong relationships with OSJ managers and financial professionals.

Responsibilities

Conduct transaction and account reviews for direct reports
Monitor reports and enforce internal controls for compliance
Collaborate with regional supervision team and field staff
Coordinate annual compliance meetings and questionnaires
Identify risk‑based findings and implement corrective actions

Skills

Qualifications

FINRA Series 7FINRA Series 24FINRA Series 63/65 or 66FINRA Series 4FINRA Series 53

About Osaic

osaic.com

Headquarters

Scottsdale, Arizona, United States

Company Size

1001-5000 employees

Founded

2016

View Profile

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.