Osaic · 21 hours ago
Supervision Principal, Electronic Communications Supervision
Atlanta, GA
Contract
Hybrid
Mid, Senior Level
$60K/yr - $70K/yr
2+ years expOsaic is a financial services company seeking a Supervision Principal for Electronic Communications Supervision. The role involves overseeing electronic communications of financial professionals to ensure compliance with regulatory standards and internal policies, while proactively identifying and mitigating risks.
Business DevelopmentFinancial ServicesWealth Management
No H1B
Responsibilities
Review of electronic communications for the financial professionals, including emails, text messages, and Teams messages
Works with financial professionals to address concerns and to educate concerning firm policies
Works with management and other supervision/compliance personnel on escalated issues
Work independently to ensure department deadlines are met and service levels are maintained
Develop and maintain ongoing relationships with team members, internal business partners, and Financial Professionals
Participate in ongoing training to develop proficiency and expertise in supervision systems and ability to identify areas of risk in communications
Qualification
Required
Bachelor's Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience will be considered
FINRA Series 7, 24 (or 9/10) are required
Basic understanding of FINRA and SEC rules regarding communications with the public
Ability to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlines
Strong analytical and problem-solving skills
Ability to work in a time-sensitive environment
Excellent written and oral communication skills, including the ability to diplomatically find solution to assist Financial Professionals and internal business partners
Ability to read and interpret documents, including firm policy/procedures and regulatory documents
Preferred
2+ years' experience in a Principal capacity
63/65 or 66 preferred
Currently or previously employed at an independent broker-dealer
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
2026-02-05
2026-02-03
Company data provided by crunchbase