Regional Supervision Principal
5 days ago
Supervision Principal Opportunity in Financial Services
Regional Supervision Principal
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 33
Qualified Remote applicants will be considered for this role.
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: $65,000 - $70,000 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 primary responsibility of this position will be to participate in all supervisory responsibilities of the Central Supervision department, including the review of email correspondence, written correspondence, consolidated reports, and same day trading, while also providing additional leadership within the department.
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:
- Ensure proper business and sales practices are followed by the daily review of E-mail and Written Correspondence
- Monitoring the Personal Security Accounts of financial professionals
- Same Day Trading Review
- Works with financial professionals to address concerns and to educate concerning firm policies
- Works with management and other supervisory/compliance personnel on escalated sales practice issues
- Work independently to ensure department deadlines are met and service levels are maintained
Basic Requirements:
- FINRA Series 7, 24 (or S8 or S9/10) are mandatorily required
- Basic understanding of FINRA and SEC rules regarding communications with the public
- Ability to effectively handle and prioritize multiple tasks in a fast-paced team environment to meet defined deadlines
- Excellent analytical and problem-solving skills
- Ability to work in a time-sensitive environment and on occasion the ability to work extended hours, as needed
- Excellent written and oral communication skills, including the ability to diplomatically find solutions to assist advisors and internal business partners.
- Ability to read and interpret documents including firm policy and procedures and regulatory
Preferred Requirements:
- 2 - 3 years' experience in a principal capacity
- 63/65 or 66 preferred
- Currently (or previously) employed at an independent broker-dealer
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