Regional Director, Supervision

CIR

. Serve as a trusted resource for Financial Professionals on business strategy, industry changes, branch office growth, and firm resources .

Posted 10/19/2026full-timeRemote • UruguayLeadWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in financial services and relationship management, with a strong focus on compliance, supervisory review, and regulatory documentation. Proficient in leveraging data and reporting tools to enhance processes and support strategic initiatives.

Highest-signal resume keywords

FINRA Series 7 LicenseFINRA Series 24 LicenseSupervisory ReviewRegulatory DocumentationMicrosoft Office Proficiency

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Financial Services ExperienceRelationship ManagementCompliance KnowledgeData AnalysisReporting Tools Proficiency

Soft Skills

CollaborationCommunicationPartnership BuildingProblem Solving

Tools & Technologies

TableauAdobe AcrobatAI Technology Adoption

Certifications & Qualifications

FINRA Series 63 LicenseFINRA Series 65 LicenseFINRA Series 51 LicenseFINRA Series 53 License

Industry Keywords

Securities ActivitiesSales Activity ReviewException ReportingEscalation PracticesBranch Office Growth

Tech Stack

Tools & technologies

Tableau

About the role

Key responsibilities & impact

Serve as a trusted resource for Financial Professionals on business strategy, industry changes, branch office growth, and firm resources
Plan regular visits to Financial Professional offices and strengthen partnerships with the firm
Identify Financial Professionals with growth opportunities and partner with internal teams to develop and implement success strategies
Collaborate with Financial Professionals to shape and communicate new policies, procedures, and services
Supervise securities activities by reviewing sales activity, correspondence, regulatory documentation, exception reporting, and related supervisory items
Serve as an escalation contact for OSJ Supervisors, designees, Financial Professionals, and internal partners
Maintain understanding of company revenue and profitability targets, firm-level goals, industry topics, internal programs, departmental procedures, regulatory requirements, and firm policy
Leverage data, reporting tools, and responsible technology adoption to identify needs, improve processes, and deliver practical solutions
Partner with team members across the firm on strategic projects, initiatives, and service improvements
Interface internally and externally to support common goals and ensure timely communication of priorities and status updates

Requirements

What you’ll need

Five or more years of related experience, education, and/or training in financial services, relationship management, compliance, or a related field
FINRA Series 7 and 24 licenses are required
FINRA Series 63 or 65, and 51 or 53, licenses are preferred but not required
Strong understanding of supervisory review, regulatory documentation, licensing requirements, correspondence review, exception reporting, and escalation practices
Proficiency with Microsoft Office and Adobe Acrobat required
Experience with Tableau or similar reporting tools preferred
Ability to adopt technology, use data and reporting tools effectively, and incorporate AI or automation responsibly
Ability to travel approximately 8-10 weeks per year for supervisory office visits and related business needs

Benefits

Comp & perks

Premium benefit package including medical, vision, dental, life and long-term disability insurance
Vacation/sick time
401K retirement plan with company matching program
Eleven paid holidays
Work/life balance support