Supervision Regional Vice President

Supervision VP Opportunity in Financial Services

Supervision Regional Vice President

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: $90,000 - $110,000 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 Supervision Regional Vice President (SRVP) is responsible for leading a team of Regional Supervision Managers within the Field Supervision Department and will support the VP of Field 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.

The following is an overview of the functions that will be performed by the SRVP. However, due to an ever-changing regulatory environment in which we operate and the growth and evolution of the firm, flexibility is required as a job function as details of the work assignments may change over time.

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:

• Act as first line supervisor for group of financial professionals.
• Embrace a dynamic environment where challenges will require flexibility and new ideas
• Leads and manages a team and ensures that the daily supervisory tasks are completed in a timely and efficient manner.
• Develop supervision best practices and training for the team and for the field.
• Establishes goals and metrics to drive the overall goals of Osaic.
• Subject matter expert for all supervisory systems and engagement driver with ETS, product partners and vendors to remedy issues identified.
• Develops and maintains strong rapport with the field as well as internal partners.
• Assess risks identified and present risk mitigation recommendations.
• Conduct oversight of the day-to-day functions of the team and identify KPIs.
• Report to VP of Field Supervision status of supervisory controls, summary of test results and significant exceptions.
• Work with various engagement models to ensure the Supervision support is providing consistent, accurate and timely service.
• Support training and mentorship of junior level analysts as necessary

Basic Requirements:

• 5+ years of experience in the financial services industry with a strong majority of time in Supervision or Compliance
• Knowledge of financial industry compliance and regulations
• Required technical strength to work within the firm's technology and Microsoft office tools.
• Regulatory knowledge of Investment Adviser's Act of 1940 and FINRA regulations
• Thorough knowledge of securities products (i.e., mutual funds, variable annuities, alternative investments, and individual securities), compliance requirements, and the broker/dealer industry
• 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.
• FINRA Series 7, 24, 65 or 66 licenses

Preferred Requirements:

• FINRA Series 4 & 53
• Life, Health, Sickness & Variable Annuity Insurance licenses