Osaic · 5 days ago
Regional Supervision Manager
Atlanta, GA
Contract
Hybrid
Mid Level
$70K/yr - $80K/yr
3+ years expOsaic is a company in the financial services sector, seeking a Regional Supervision Manager. The role involves reviewing transactions to ensure they align with firm policies and assist in compliance-related activities for financial professionals.
Business DevelopmentFinancial ServicesWealth Management
No H1B
Responsibilities
Work with various engagement models to ensure the Supervision support is providing consistent, accurate and timely service
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.)
Qualification
Required
Minimum of high school diploma or equivalent is required
Minimum three years related experience conducting suitability/best interest review of transactions or relevant industry experience understanding current products and procedures
FINRA Series 7, Series 24 and 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
Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree
FINRA Series 4 and or/53 (could be obtained at a later date)
Benefits
Health, vision, dental insurance
401k
Paid time away
Volunteer days
Company
Osaic
Osaic provides the support, resources, and community designed for the future of wealth management.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Jamie Price
Chief Executive Officer
Kristy Britt
CFO
Recent News
Private Banker International
2025-12-30
Company data provided by crunchbase