Osaic is seeking a Regional Supervision Director to oversee supervisory duties in the financial services sector, requiring a hybrid work schedule with a minimum of four days in the office. The ideal candidate will have extensive financial industry experience and relevant FINRA certifications, with a focus on compliance and supervisory practices
Job Summary
The Regional Supervision Director supports the Supervision Regional Vice President in ensuring business processes align with firm policies and industry regulations.
This role requires conducting supervisory office visits, monitoring internal controls, and resolving branch deficiencies to minimize risk for the firm and financial professionals.
Candidates must be located at one of the specified hubs in Atlanta, St. Petersburg, La Vista, Oakdale, or Scottsdale and adhere to a hybrid schedule requiring four days weekly in the office.
Matching Summary
Match Score: 85
Osaic is seeking a Regional Supervision Director to oversee supervisory duties in the financial services sector, requiring a hybrid work schedule with a minimum of four days in the office. The ideal candidate will have extensive financial industry experience and relevant FINRA certifications, with a focus on compliance and supervisory practices.
Salary
Base: $80,000 - $86,000 per year; Bonus: Annual bonus included; Benefits: Health, vision, dental, 401k, paid time away, volunteer days
Skills & Requirements
Must-have
5+ years financial industry experience
FINRA Series 7, 24, 66 licenses required
Knowledge of FINRA Rule 3110 and Reg BI
Hybrid work schedule with 4 days in office
Nice-to-have
Strong Microsoft Office technical skills
Experience developing branch managers
Ability to travel approximately 25%
Key Requirements
Bachelor's degree preferred or equivalent experience
Required FINRA Series 7, 24, and 66 (or 63/65) licenses
Minimum 5 years financial industry experience
Thorough knowledge of SEC rules and securities products