Regional Supervision Manager

Osaic

. Conduct transaction and account review for all transactions for direct reports .

Posted 9/21/2026full-timeUnited StatesMid-LevelSenior💰 $70,000 - $80,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in conducting transaction and account reviews while ensuring compliance with FINRA and SEC regulations. Proficient in training and supporting Financial Professionals on broker-dealer policies and procedures.

Highest-signal resume keywords

FINRA Series 7FINRA Series 24FINRA Series 63FINRA Series 65FINRA Series 66

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Transaction ReviewAccount ReviewRisk AssessmentCompliance MonitoringQueue ManagementAnalytical SkillsProblem-SolvingProject Tracking

Soft Skills

Effective CommunicationRelationship ManagementTeam CollaborationTask Prioritization

Certifications & Qualifications

FINRA Series 4FINRA Series 53

Industry Keywords

FINRASECBroker-Dealer PoliciesInternal ControlsSales Practices

About the role

Key responsibilities & impact

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
Collaborate with the Regional Supervision Team
Maintain positive relationships and serve as a guide and resource to OSJ Managers and support staff
Proactively communicate firm policies and procedures and ensure understanding and compliance with firm and industry requirements
Support education, development and training of newly affiliated Financial Professionals, delegates, and staff regarding broker-dealer policies and procedures
Function as the home office liaison and primary contact for Financial Professionals on supervision issues
Identify and assess risk-based reviews for findings violating department guidelines and take appropriate corrective action
Work on delegated and collaborative projects with departments and upper management, tracking projects to completion
Perform other duties as assigned

Requirements

What you’ll need

Minimum of high school diploma or equivalent is required
Minimum three years related experience conducting suitability/best interest review of transactions or relevant industry experience understanding current products and procedures
FINRA Series 7 required
Series 24, Series 63/65 or Series 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
FINRA Series 4 and/or 53 preferred; could be obtained at a later date

Benefits

Comp & perks

Annual bonus
Health insurance
Vision insurance
Dental insurance
401k
Paid time away
Volunteer days