Osaic

Manager, Electronic Communications Supervision

Osaic

full-time

Posted on:

Location Type: Hybrid

Location: Atlanta • Arizona • Florida • United States

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Salary

💰 $90,000 - $100,000 per year

About the role

  • 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

Requirements

  • 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.
Benefits
  • health, vision, dental insurance
  • 401k
  • paid time away
  • volunteer days
  • annual performance-based bonus
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
financial servicescomplianceregulatory requirementsproductivity analysisperformance managementinternal controlsproblem solvingdecision-making
Soft Skills
coachingtrainingcommunicationrelationship building
Certifications
FINRA Series 7FINRA Series 24FINRA Series 63FINRA Series 66FINRA Series 65