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Regional Supervision Manager at Osaic - ApplyBlast

Regional Supervision Manager

Osaic

17 days ago

2.6 on Glassdoor

Atlanta, Georgia, United States

Hybrid

Full Time

Manager

0 applicants

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About this role

The Regional Supervision Manager reviews brokerage, advisory, and directly held transactions to ensure they align with client best interests and firm policies. This role involves monitoring compliance, managing approval requests for outside business activities, and coordinating with home office staff to protect clients and the firm. The position serves as a liaison for supervision issues and supports the training and development of financial professionals.

Responsibilities

Review brokerage and advisory transactions to ensure compliance with firm policies
Monitor reports and enforce internal controls to maintain industry standards
Coordinate with home office staff to process business according to procedures

Skills

Qualifications

FINRA Series 7FINRA Series 24FINRA Series 63FINRA Series 65FINRA Series 66

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.