Ensure business processed in accordance with firm policies
Monitor, report, and enforce internal controls
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Osaic is seeking a Regional Supervision Director for its financial services operations, requiring strong industry knowledge and supervisory skills. The role involves ensuring compliance with firm policies and maintaining relationships with financial professionals, with a salary range of $80,000 - $86,000 plus bonuses.
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Job Summary
The Regional Supervision Director supports the Supervision Regional Vice President to ensure business is processed in accordance with firm policies and procedures.
Responsibilities include engaging in Supervisory Office Visits, monitoring internal controls, and identifying patterns of concerning practices.
The role requires a strong understanding of FINRA and SEC rules, securities products, and the ability to travel approximately 25%.
Matching Summary
Match Score: 75
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Osaic is seeking a Regional Supervision Director for its financial services operations, requiring strong industry knowledge and supervisory skills. The role involves ensuring compliance with firm policies and maintaining relationships with financial professionals, with a salary range of $80,000 - $86,000 plus bonuses.
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Salary
Base: $80,000 - $86,000 per year; Bonus/Equity: annual bonus; Benefits: health, vision, dental insurance, 401k, paid time away, volunteer days
Skills & Requirements
Must-have
Supervisory duties delegated by SRVP
Ensure business processed in accordance with firm policies
Monitor, report, and enforce internal controls
Develop and enforce Heightened Supervision
Review Outside Business Activities
Nice-to-have
Proactively address potential compliance issues
Collaborate with Compliance and Advisor Engagement