Regional Supervision Manager
Osaic
full-time
Posted on:
Location Type: Hybrid
Location: Atlanta • Arizona • Florida • United States
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Salary
💰 $70,000 - $80,000 per year
About the role
- 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
- 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
- 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 & 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