Regional Supervision Director

Advisor Group•Scottsdale, AZ

15h•$80,000 - $86,000•Hybrid

About The Position

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.

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, who 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
Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.
Minimum of high school diploma or equivalent is required.

Nice To Haves

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

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.