Regional Supervision Director
Advisor Group, Atlanta, TX, United States
Supervision Director Opportunity in Financial Services
Regional Supervision Director
Location(s):
Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339
St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702
La Vista:12325 Port Grace Blvd, La Vista, NE 68128
Oakdale: 7755 3rd St. N, Oakdale, MN 55128
Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
Osaic is not considering remote candidates at this time.
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.
Role Type: Full-time
Salary: $93,000 - $99,000 per year + annual bonus
Actual compensation offered will be determined individually, based on a number of job‑related factors, including location, skills, licensure, experience, and education.
Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits.
Summary The Regional Supervision Director performs the functions of a registered principal related to the supervisory duties delegated by the Supervision Regional Vice President (“SRVP”). The Regional Supervision Director supports efforts of the Supervision Regional Vice President to ensure the business is processed in accordance with firm policies and procedures.
Education Requirements
Bachelor’s degree preferred, high school diploma (or equivalent) in combination with practical experience will be considered in lieu of degree. A minimum high school diploma or equivalent is required.
Responsibilities
Provides support to the SRVP by assuming delegated responsibilities and providing other supervisory assistance as required.
Maintains an ongoing positive relationship with Financial Professionals, OSJ Branch Managers and support staff in collaboration with the SRVP, Compliance, and Advisor Engagement.
Engage in Supervisory Office Visits with assigned OSJ Managers to promote company supervisory practices, follow up on branch exam findings, and proactively address potential compliance issues to minimize risk to the Financial Professional, the OSJ, and the firm.
Home office liaison and primary contact during travel of the SRVP.
Monitors, reports, and enforce internal controls to ensure compliance with industry regulations and the firm’s policies and procedures.
Assists in implementing policy and procedures for facilitating supervision of new and existing initiatives.
Identifies patterns of concerning practices. Conducts reviews based on findings that violate the firm’s current guidelines and takes appropriate corrective action as needed in collaboration with the SRVP.
Development of new OSJ branch managers and staff regarding firm policies and procedures for compliance and conduct training on technology used for supervision.
Assist in developing and enforcing Heightened Supervision and Financial Action Plans.
Maintain records and files as outlined in the department’s policy and procedures.
Monitor, report, and enforce internal controls to ensure compliance with industry regulations and the firm’s policies and procedures.
Work on delegated and collaborative projects with the SRVP, Advisor Engagement, Legal and Compliance to include the tracking of projects to ensure completeness.
Responsible for review of Outside Business Activities, Resolution of Branch Office Deficiencies, Completion of Annual Compliance Requirements and Surveillance reviews.
Travel required as dictated by the above responsibilities.
Basic Requirements
5+ years of financial industry experience.
2+ years of related experience.
FINRA Series 7, 24, 66 (or 63 / 65) are required.
Required technical strength to work within the firm’s technology and Microsoft office tools.
Strong understanding of relevant FINRA and SEC rules and regulations including 3110, 40 ACT, Reg BI and DOL PTE.
Thorough knowledge of securities products (i.e., mutual funds, variable annuities, alternative investments, and individual securities), compliance requirements, and the broker dealer and investment advisor industry.
Ability to effectively handle and prioritize multiple tasks in a fast‑paced team environment to meet defined deadlines.
Ability to travel approximately 25%
Preferred Requirements
FINRA Series 4 & 53 preferred.
Resident State Life, Health & Sickness, and Variable Annuity insurance licenses.
Equal Opportunity Employer Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.
Eligibility Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.
Unqualified Applications Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
Recruiting Agencies Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.
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St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702
La Vista:12325 Port Grace Blvd, La Vista, NE 68128
Oakdale: 7755 3rd St. N, Oakdale, MN 55128
Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
Osaic is not considering remote candidates at this time.
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.
Role Type: Full-time
Salary: $93,000 - $99,000 per year + annual bonus
Actual compensation offered will be determined individually, based on a number of job‑related factors, including location, skills, licensure, experience, and education.
Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits.
Summary The Regional Supervision Director performs the functions of a registered principal related to the supervisory duties delegated by the Supervision Regional Vice President (“SRVP”). The Regional Supervision Director supports efforts of the Supervision Regional Vice President to ensure the business is processed in accordance with firm policies and procedures.
Education Requirements
Bachelor’s degree preferred, high school diploma (or equivalent) in combination with practical experience will be considered in lieu of degree. A minimum high school diploma or equivalent is required.
Responsibilities
Provides support to the SRVP by assuming delegated responsibilities and providing other supervisory assistance as required.
Maintains an ongoing positive relationship with Financial Professionals, OSJ Branch Managers and support staff in collaboration with the SRVP, Compliance, and Advisor Engagement.
Engage in Supervisory Office Visits with assigned OSJ Managers to promote company supervisory practices, follow up on branch exam findings, and proactively address potential compliance issues to minimize risk to the Financial Professional, the OSJ, and the firm.
Home office liaison and primary contact during travel of the SRVP.
Monitors, reports, and enforce internal controls to ensure compliance with industry regulations and the firm’s policies and procedures.
Assists in implementing policy and procedures for facilitating supervision of new and existing initiatives.
Identifies patterns of concerning practices. Conducts reviews based on findings that violate the firm’s current guidelines and takes appropriate corrective action as needed in collaboration with the SRVP.
Development of new OSJ branch managers and staff regarding firm policies and procedures for compliance and conduct training on technology used for supervision.
Assist in developing and enforcing Heightened Supervision and Financial Action Plans.
Maintain records and files as outlined in the department’s policy and procedures.
Monitor, report, and enforce internal controls to ensure compliance with industry regulations and the firm’s policies and procedures.
Work on delegated and collaborative projects with the SRVP, Advisor Engagement, Legal and Compliance to include the tracking of projects to ensure completeness.
Responsible for review of Outside Business Activities, Resolution of Branch Office Deficiencies, Completion of Annual Compliance Requirements and Surveillance reviews.
Travel required as dictated by the above responsibilities.
Basic Requirements
5+ years of financial industry experience.
2+ years of related experience.
FINRA Series 7, 24, 66 (or 63 / 65) are required.
Required technical strength to work within the firm’s technology and Microsoft office tools.
Strong understanding of relevant FINRA and SEC rules and regulations including 3110, 40 ACT, Reg BI and DOL PTE.
Thorough knowledge of securities products (i.e., mutual funds, variable annuities, alternative investments, and individual securities), compliance requirements, and the broker dealer and investment advisor industry.
Ability to effectively handle and prioritize multiple tasks in a fast‑paced team environment to meet defined deadlines.
Ability to travel approximately 25%
Preferred Requirements
FINRA Series 4 & 53 preferred.
Resident State Life, Health & Sickness, and Variable Annuity insurance licenses.
Equal Opportunity Employer Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.
Eligibility Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.
Unqualified Applications Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
Recruiting Agencies Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.
#J-18808-Ljbffr