Regional Supervision Manager
Core
Review brokerage, advisory, and directly held transactions to ensure they are in the client's best interest and comply with firm policies.
Role type
Full-time Regional Supervision Manager (Financial Services)
Builds
Compliance reviews and risk assessments for brokerage and advisory transactions
Domain
Financial Services / Broker-Dealer
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Transaction review, suitability analysis, FINRA Series 7, FINRA Series 24, FINRA Series 63/65 or 66, regulatory compliance knowledge, risk assessment, internal controls enforcement, stakeholder collaboration, staff training support, project tracking
Preferred skills
FINRA Series 4, FINRA Series 53
Technologies
Back-office systems, queue management reports
Responsibilities
Conduct transaction and account reviews for direct reports; monitor reports and enforce internal controls; collaborate with Regional Supervision Team; support education and training of newly affiliated Financial Professionals; function as home office liaison for supervision issues; identify and assess risk-based reviews for violations; work on delegated projects including Annual Compliance Meetings and Firm Element Continuing Education
Seniority
Mid-level, hands-on IC