Regional Supervision ManagerOsaic • Omaha, NE, US
Regional Supervision Manager
Osaic • Omaha, NE, US
[job_card.30_days_ago]
[job_preview.job_type]
- [job_card.full_time]
[job_card.job_description]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.). 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. FINRA Series 4 and / or 53 (could be obtained at a later date)
Regional Supervision Manager
Field Supervision Opportunity in Financial Services
Location(s) :
Atlanta : 2300 Windy Ridge Pkwy SE, Suite 750, 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.
Role Type : Full-time
Salary : $70,000 - $80,000 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.
Summary :
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.
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 :
Basic Requirements :
Preferred Requirements :
[job_alerts.create_a_job]
Regional Manager • Omaha, NE, US
[internal_linking.related_jobs]
Develop strategic and tactical regional plans that support the sales and marketing objectives of the US Subsidiary.Provide leadership and oversight in the implementation of the plans with the sales...[show_more]
The Waldinger Corporation, a full-service mechanical, sheet metal, electrical and service contractor, is seeking a Regional Predictive Maintenance Manager to join our high-performing and innovative...[show_more]
The Field Territory Manager is an individual contributor responsible for driving strategic priorities, managing new and renewal business, and ensuring customer success within an assigned territory....[show_more]
Kidney Territory Account Manager.The Kidney Territory Account Manager (KTAM) is responsible for establishing and maintaining relationships with Health Care Professionals (HCPs), developing a strate...[show_more]
District Managers Lead and are responsible for multi-million dollar businesses!.You will be involved in the overall operation of each restaurant, from hiring and overseeing managers and team member...[show_more]
Are You a Driven Leader Ready to Make a Real Impact?.Do you want to transform the lives of others while building a rewarding career with unlimited earning potential? Do you care about the future of...[show_more]
Regional Canvass Manager Kingston Strategy Location : .Omaha, NE Job Type : Temporary, Contract Experience Level : Mid-Level, 2-3 Cycles Compensation : Salary of $4,000 / month Position Over...[show_more]
Forge Health is a mission-driven outpatient mental health and substance use provider dedicated to providing the highest quality, affordable, and effective care to individuals, families, and communi...[show_more]
Via is using technology to transform transportation around the world.From changing a single person's daily commute to reducing humanity's collective environmental footprint we've got huge goals.Vi...[show_more]
World Business Lenders Loan Administration Consultant.World Business Lenders (WBL) provides general purpose short-term real estate collateralized commercial loans to a broad customer base comprised...[show_more]
Availa Bank believes our people make a difference, and we recognize that individual differences and experiences strengthen our teams.
Each member of our team is empowered to inspire and enable our c...[show_more]
Residential program—we’re a family committed to changing lives.By joining our team as a Shift Manager, you’ll step into a mission-driven role, ensuring the daily operations of our...[show_more]
Enovis Corporation (NYSE : ENOV) is an innovation-driven medical technology growth company dedicated to developing clinically differentiated solutions that generate measurably better patient outcome...[show_more]
We're in an unbelievably exciting area of tech and are fundamentally reshaping the data storage industry.Here, you lead with innovative thinking, grow along with us, and join the smartest team in t...[show_more]
A leading financial institution is seeking a Regional Sales Director to lead a team focused on merchant acquiring solutions for small businesses.
This role requires strong sales leadership, effectiv...[show_more]
Provides leadership and management of multiple restaurants in a geographic area : ensures achievement of restaurant sales and budgetary targets.
drives and delivers exceptional customer service; est...[show_more]
Dominium is helping tackle the affordable housing crisis - and we're looking for motivated candidates to join our team and advance our mission.
With offices in Atlanta, Dallas, Phoenix and Minneapol...[show_more]
POSITION PURPOSE AND EXPECTATION : .The District Manager Position is responsible for the achievement of Sales Growth on Last Year by providing outstanding Customer experience in all stores through : .E...[show_more]
Regional Sales Manager
Phoenix Contact • Omaha, NE, US
[job_card.full_time]
[last_updated.last_updated_30] • [promoted]
Regional Project Manager
The Waldinger Corp. • La Vista, NE, US
[job_card.full_time]
[last_updated.last_updated_30]
Field Territory Manager - Remote Opportunity
The Mutual Group • Omaha, NE, US
[filters.remote]
[job_card.full_time]
[last_updated.last_updated_1_day] • [promoted]
Kidney Territory Account Manager (Omaha, NE)
Vertex • Omaha, NE, US
[job_card.full_time]
[last_updated.last_updated_variable_days] • [promoted]
District Manager NE, MO, KS, IA
Dunkin' • Omaha, NE, US
[job_card.full_time]
[last_updated.last_updated_30] • [promoted]
District Sales Manager
National Write Your Congressman • Council Bluffs, IA, US
[job_card.full_time]
[last_updated.last_updated_variable_days] • [promoted]
2.1 Regional Canvass Manager
Kingston Strategy • Omaha, NE, US
[job_card.temporary]
[filters_job_card.quick_apply]
[last_updated.last_updated_30]
Manager, Revenue Cycle
Forge Health • Omaha, NE, US
[job_card.full_time]
[last_updated.last_updated_variable_days] • [promoted]
Field Operations Manager
Via • Council Bluffs, IA, US
[job_card.full_time]
[last_updated.last_updated_variable_days] • [promoted]
Remote - Loan Servicing Manager
World Business Lenders • Omaha, NE, US
[filters.remote]
[job_card.full_time]
[last_updated.last_updated_30] • [promoted]
Bank Regional Retail Leader
Availa Bank • Council Bluffs, Iowa, United States, 51503
[job_card.full_time]
[last_updated.last_updated_variable_days]
Residential Shift Manager
Fostering Futures LLC • Omaha, NE, US
[job_card.full_time]
[last_updated.last_updated_variable_days] • [promoted]
Regional Sales Manager
Enovis • Omaha, NE, United States
[job_card.full_time]
[last_updated.last_updated_variable_hours] • [promoted] • [new]
District Manager, Army / SOF
Pure Storage • Omaha, NE, US
[job_card.full_time]
[last_updated.last_updated_30] • [promoted]
Remote Regional Sales Director, Merchant Acquisition
U.S. Bank • Omaha, NE, United States
[filters.remote]
[job_card.full_time]
[last_updated.last_updated_variable_days] • [promoted]
District Manager
WKS Restaurant Group • Omaha, Nebraska, United States, 68124
[job_card.full_time]
[last_updated.last_updated_30]
Community Manager - RiverEast
Dominium Management Services • Council Bluffs, IA, United States
[job_card.full_time]
[last_updated.last_updated_variable_days] • [promoted]
District Manager
Lovisa Pty Ltd • Omaha, NE, US
[job_card.full_time]
[last_updated.last_updated_1_hour] • [promoted] • [new]