Osaic · 4 hours ago
Manager, Electronic Communications Supervision
Scottsdale, AZ
Full-time
Hybrid
Senior Level
$90K/yr - $100K/yr
5+ years expOsaic is a company in the financial services sector, seeking a driven leader to join their Electronic Communications Supervision team. The Manager of Electronic Communications Supervision will oversee all aspects of electronic communications to ensure compliance with regulatory standards and internal policies while managing a high-performing team.
Business DevelopmentFinancial ServicesWealth Management
Responsibilities
Responsible for the daily oversight of the department personnel, workflow and processing procedures
Review and analyze productivity, service levels and processing procedures to ensure company goals, regulatory requirements and service standards are met
Monitors, reports, and enforces internal controls to ensure compliance with industry standards and the firm’s policies and procedures
Build and maintain effective business relationships with internal departments, financial professionals, and external service providers
Develop team members through coaching, training and performance management
Serves as subject matter expert to financial professionals on matters pertaining to the department, as well as to internal business partners in understanding and complying with firm and regulatory requirements
Manage and build effective business relationships with internal departments, financial professionals, and external service providers
Exercise strong problem solving and decision-making skills
All other duties as assigned
Qualification
Required
Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required
5+ years of experience in the financial services industry with significant experience in Supervision and/or Compliance
FINRA Series 7 and 24 required, Series 63/66 or 65 preferred
Knowledge of financial industry compliance and regulations
Ability to read and interpret documents including FINRA, SEC and firm policies
Excellent written and oral communication skills, including the ability to diplomatically find solutions to assist financial professionals
Preferred
Must be able to work in a team environment and support other colleagues as needed
Must be able to prioritize and handle multiple tasks and deadlines simultaneously
A collaborative professional with strong initiative, adaptability and strong judgement, committed to delivering exceptional service
Familiarity with Arctera and Global Relay email review platforms
Benefits
Health, vision, dental insurance
401k
Paid time away
Volunteer days
Much more
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
Investment News
2026-01-22
Company data provided by crunchbase