Regional Supervision Manager
Core
Review brokerage, advisory, and directly held transactions to ensure they align with client best interests and firm policies.
Role type
Regional Supervision Manager (Compliance/Operations)
Builds
Compliance reviews and transaction suitability assessments for financial professionals
Domain
Financial Services / Broker-Dealer
Deliverable
client delivery
Required skills
transaction review, account review, queue management, internal controls enforcement, regulatory compliance (FINRA/SEC), risk assessment, corrective action, project tracking, staff training coordination
Preferred skills
FINRA Series 4, FINRA Series 53
Technologies
back-office systems, queue management reports
Responsibilities
Conduct transaction and account review for direct reports; monitor reports and enforce internal controls; identify and assess risk-based reviews for violations; support education and training of newly affiliated Financial Professionals; function as home office liaison for supervision issues; coordinate efforts between home office staff and field supervisors; track delegated projects for completeness.
Seniority
Mid-level, hands-on IC