Regional Supervision Manager

Osaic

Regional Supervision Manager overseeing compliance reviews in financial services operations. Collaborating with teams to protect clients and ensure adherence to policies and procedures.

Posted 4/15/2026full-timeAtlanta • Arizona, Florida, Minnesota, New York • 🇺🇸 United StatesMid-LevelSenior💰 $70,000 - $80,000 per yearWebsite

About the role

Key responsibilities & impact

Responsible for the review of Brokerage, Advisory and Directly held transactions
Conduct transaction and account review for all transactions for direct reports
Monitor reports and enforce internal controls to ensure compliance
Collaborate with Regional Supervision Team
Support the education, development, and training of newly affiliated Financial Professionals

Requirements

What you’ll need

Minimum three years related experience conducting suitability/best interest review of transactions
FINRA Series 7, Series 24 and Series 63/65 or 66 required
Understanding of relevant FINRA and SEC
Excellent analytical and problem-solving skills

Benefits

Comp & perks

health, vision, dental insurance
401k
paid time away
volunteer days
annual bonus

ATS Keywords

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Applicant Tracking System Keywords

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

Hard Skills & Tools

transaction reviewaccount reviewsuitability reviewbest interest reviewcompliance monitoringinternal controls enforcementanalytical skillsproblem-solving skills

Soft Skills

collaborationeducationdevelopmenttraining

Certifications

FINRA Series 7FINRA Series 24FINRA Series 63FINRA Series 65FINRA Series 66