Regional Supervision Manager

Advisor Group•Scottsdale, AZ

8d•$70,000 - $80,000•Onsite

About The Position

The Regional Supervision Manager (RSM) is responsible for the review of Brokerage, Advisory and Directly held transactions as presented within the back-office systems; ensuring those transactions are in the client’s best interest, based on stated firm policies and procedures. The Regional Supervision Manager will also assist in the review of Financial Professionals requests for approval of Outside Business Activities, Account Reviews/Acceptance and completion of annual firm requirements such as the Annual Compliance Meeting, Annual Compliance Questionnaire and Firm Element requirements. The RSM will help coordinate efforts between other home office staff members to ensure business is processed in accordance with the firm's policies and procedures to protect the client, the firm and Field Supervisors.

Requirements

Minimum three years related experience conducting suitability/best interest review of transactions or relevant industry experience understanding current products and procedures.
FINRA Series 7, Series 24 and Series 63/65 or 66 required
Understanding of relevant FINRA and SEC.
Ability to effectively handle and prioritize multiple tasks in a fast-paced team environment to meet defined deadlines.
Ability to work in a time-sensitive environment.
Excellent analytical and problem-solving skills.

Nice To Haves

FINRA Series 4 and or/53 (could be obtained at a later date)

Responsibilities

Work with various engagement models to ensure the Supervision support is providing consistent, accurate and timely service.
Conduct transaction and account review for all transactions for direct reports.
Ensure proper business and sales practices are followed by the daily review of queue management reports.
Monitor reports and enforce internal controls to ensure compliance with industry standards and the firm’s policies and procedures.
Collaboration with Regional Supervision Team.
Maintains ongoing positive relationships, acting as a guide and resource to all OSJ Managers and support staff in collaboration with Supervision, Compliance and other field-facing partners while ensuring understanding and compliance with all firm and industry requirements by proactively communicating the firm’s policies and procedures.
Supports the education, development and training of newly affiliated Financial Professionals, delegates, and staff with regards to broker dealer policies and procedures.
Functions as the home office liaison and primary contact for Financial Professionals on supervision issues.
Identify and assess risk-based reviews for findings deemed to be in violation of the department’s current guidelines and takes appropriate corrective action as needed in collaboration with others on the Supervision team and Compliance.
Works on delegated and collaborative projects with all departments and upper management to include the tracking of said projects to ensure completeness (i.e. Outside Business Activity Questionnaire, Annual Compliance Meetings, Firm Element Continuing Education, Annual Representative Renewals, etc.).