Regional Supervision Director

Field Supervision Director Opportunity in Financial Services

Regional Supervision Director, Field Supervision

Location(s):

Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339

La Vista:12325 Port Grace Blvd, La Vista, NE 68128

Oakdale: 7755 3rd St. N, Oakdale, MN 55128

Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702

Osaic is not considering remote candidates at this time.

Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.

Qualified internal remote applicants will be considered for this role.

Role Type:        Full-time

Salary:             $80,000 - $100,000 per year + annual bonus 

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, 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 RIA Solutions Regional Supervision Director is responsible, as the first line supervisor, for a region of primarily ‘advisory centric’ Independent Registered Investment Advisor (I-RIA) firms.  The overall territory will typically be comprised of around 150 Financial Professionals, although total registered persons supervised could fluctuate depending on business needs. The ideal candidate will be able to perform daily supervisory and oversight functions coordinated by their leader, while also leaning into and leading change as Osaic continues to grow and evolve.

Education Requirements:

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

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.
• Develops and maintains strong rapport with the field as well as internal partners.
• Monitors, reports, and enforces internal controls to ensure compliance with industry standards and the firm’s policies and procedures.
• 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.

Basic Requirements:

• 5+ years of experience in the financial services industry with a strong majority of time in Supervision or Compliance
• Regulatory knowledge of Investment Adviser’s Act of 1940 and FINRA regulations (bullet moved up in list)
• Knowledge of financial industry compliance and regulations
• Required technical strength to work within the firm’s technology and Microsoft office tools.
• 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

Preferred Requirements:

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

Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.

Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.