TRC Talent Solutions · 1 day ago
Regional Supervision Manager
Scottsdale, AZ, US
Full-time
Hybrid
Mid Level
3+ years expTRC Talent Solutions is seeking a Regional Supervision Manager for a wealth management client in Atlanta, GA. The role involves overseeing the supervision and review of brokerage and advisory transactions to ensure compliance with firm policies and regulatory standards.
Management Consulting
Responsibilities
Review brokerage, advisory, and direct transactions to ensure suitability, best interest, and policy adherence
Conduct account reviews, transaction supervision, and queue management oversight for assigned Financial Professionals
Evaluate and approve Outside Business Activities, account acceptance, and annual compliance requirements
Monitor supervisory reports and enforce internal controls aligned with FINRA and SEC regulations
Identify and escalate risk-based findings; partner with Supervision and Compliance on corrective actions
Serve as the primary home office contact for supervision-related inquiries
Support onboarding, education, and ongoing training of Financial Professionals and support staff
Collaborate cross-functionally with Supervision, Compliance, and other departments on firm initiatives and regulatory projects
Qualification
Required
Minimum 3 years of experience conducting suitability or best interest transaction reviews within financial services
Active FINRA Series 7, 24, and 63/65 or 66
Strong knowledge of FINRA and SEC regulations
Proven ability to manage multiple priorities in a fast-paced, deadline-driven environment
Excellent analytical, organizational, and problem-solving skills
Preferred
FINRA Series 4 and/or 53 (or willingness to obtain)
Bachelor's degree preferred; equivalent experience considered
Benefits
Medical
Dental
Vision
401(k)
Paid time off
Volunteer days
And more
Company
TRC Talent Solutions
TRC Talent Solutions is a full-service talent solutions provider with over 40 years of industry experience.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Geetha Krishnan
SVP, Chief Information Officer
Kennedi Hutchins
Talent Data Coordinator/HR Partner
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