Regional Supervision Director

Field Supervision Director Opportunity in Financial Services

Regional Supervision Director, Field Supervision

Location(s):

20 E Thomas Rd, 2000, Phoenix, AZ 85012

2300 Windy Ridge Parkway, Atlanta, GA 30339

7755 Third Street North, Oakdale, MN 55128

877 Executive Center Drive West, St. Petersburg, FL 33702

12325 Port Grace Boulevard, La Vista, NE 68128

Schedule: Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants must be willing to work this schedule.

Role Type: Full time

Salary: $90,000 - $102,000 per year + annual bonus

• Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and education.
• Our competitive salaries are just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, vacation and sick time, 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 is responsible for conducting supervisory reviews as a centralized function of the Field Supervision department. The ideal candidate will be able to perform daily supervisory functions coordinated by their leader, while also leaning into and leading change as Osaic continues to grow and evolve.

The following is an overview of the functions that will be performed by the Regional Supervision Director. However, due to an ever-changing regulatory environment in which we operate and the growth and evolution of the firm, flexibility is required as details of the work assignments may change over time.

Responsibilities:

• Embrace a dynamic environment where challenges will require flexibility and new ideas.
• Provides support to direct leadership by assuming delegated FLS (First Line Supervisor) responsibilities and providing other supervisory assistance as required.
• Monitors, reports, and enforces internal controls to ensure compliance with industry standards and the firm's policies and procedures.
• Develops and maintains strong rapport with the field as well as internal partners.
• Identify suspicious patterns of practice. Conduct investigations based on findings that violate policy and take appropriate corrective action as needed in collaboration with leadership.
• Assist in coordinating and enforcing Heightened Supervision of Branch offices as needed.
• Work on delegated and collaborative projects with Field Supervision Leadership, Advisor Support, Legal and Compliance.
• Work with various engagement models to ensure the Supervision support is providing consistent, accurate and timely service.

Education Requirements:

• Bachelor's degree or equivalent or requisite experience

Basic Requirements:

• 5+ years of experience in the financial services industry with a strong majority of time in Supervision or Compliance
• Knowledge of financial industry compliance and regulations
• Required technical strength to work within the firm's technology and Microsoft office tools.
• Regulatory knowledge of Investment Adviser's Act of 1940 and FINRA regulations
• Thorough knowledge of securities products (i.e., mutual funds, variable annuities, alternative investments, and individual securities), compliance requirements, and the broker/dealer industry
• Must be able to prioritize and handle multiple tasks and deadlines simultaneously.
• Team player, possesses great initiative, flexibility, excellent judgment and knows how to provide indispensable service.
• Business travel as needed.
• FINRA Series 7, 24, 65 or 66 licenses

Preferred Requirements:

• FINRA Series 4 & 53
• Life, Health, Sickness & Variable Annuity Insurance licenses