Regional Supervision Manager
Osaic
full-time
Posted on:
Location Type: Hybrid
Location: Scottsdale • Arizona, Florida, Minnesota, New York • 🇺🇸 United States
Visit company websiteSalary
💰 $70,000 - $80,000 per year
Job Level
Mid-LevelSenior
About the role
- Responsible for the review of Brokerage, Advisory and Directly held transactions as presented within the back-office systems; ensuring those transactions are in the client’s best interest, based on firm policies.
- Assist in the review of Financial Professionals requests for approval of Outside Business Activities, Account Reviews/Acceptance and completion of annual firm requirements.
- Collaborate with Regional Supervision Team. Maintain ongoing positive relationships.
- Support the education, development and training of newly affiliated Financial Professionals.
Requirements
- 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.
- Excellent analytical and problem-solving skills.
Benefits
- health, vision, dental insurance
- 401k
- paid time away
- volunteer days
- annual bonus
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
suitability reviewtransaction reviewfinancial analysisbest interest reviewaccount reviewbusiness activity approval
Soft skills
collaborationrelationship managementeducationdevelopmenttraininganalytical skillsproblem-solvingtask prioritization
Certifications
FINRA Series 7FINRA Series 24FINRA Series 63FINRA Series 65FINRA Series 66