Director, Electronic Communications Supervision

Supervision Leadership Opportunity in Financial Services

Director, Electronic Communications 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.

Role Type: Full-time

Salary: $125,000 - $135,000 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:

We are looking for a driven and motivated leader to join our Supervision organization. The Director, Electronic Communications ("E-Comm") Supervision will be responsible for building and leading a centralized team of SMEs to carry out all aspects of electronic communications supervision and will support the Head of Supervision in creating a culture within the team that exemplifies Osaic's core values. The ideal candidate will exhibit leader behaviors to grow team members and foster collaborative relationships both internally and externally, 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. A minimum high school diploma or equivalent is required.

Responsibilities:

• Manage and guide the e-comm review team, ensuring timely identification, escalation, and resolution of risks.
• Collaborate with internal and external stakeholders to handle escalated issues and ensure appropriate follow-up in line with regulations.
• Drive improvements in surveillance training by contributing subject matter expertise to compliance training efforts.
• Design and manage performance metrics and reporting tools (e.g., MIS, KPIs, KRIs) to measure program effectiveness and surface critical findings.
• Lead the implementation and optimization of surveillance systems, ensuring alignment with regulatory requirements and industry best practices.
• Partner with Data Analytics teams to develop and refine models that enhance surveillance capabilities.
• Maintain up-to-date knowledge of evolving regulatory expectations and surveillance trends to keep the program forward-looking and robust.

Basic Requirements:

• 10+ years of experience in the financial services industry with majority of the time spent on Supervision or Compliance in e-communications positions
• Knowledge of financial industry compliance and regulations
• General knowledge of public and privately traded securities and managed account platforms
• Regulatory knowledge of Investment Adviser's Act of 1940 and FINRA regulations
• FINRA Series 7, 24, 65 or 66 licenses (Series 4 and 53 preferred)
• Working knowledge of industry standard e-communications archival and supervision tools (i.e. Global Relay, SMARSH, Arctera).

Preferred Requirements:

• Must be able to work in a team environment and support other colleagues as needed
• 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