Regional Supervision Director overseeing supervisory responsibilities in financial services across multiple locations. Engaging with OSJ Managers and ensuring compliance with industry regulations.
Responsibilities
Provides support to the SRVP by assuming delegated responsibilities and providing other supervisory assistance as required
Maintains an ongoing positive relationship with Financial Professionals, OSJ Branch Managers and support staff in collaboration with the SRVP, Compliance, and Advisor Engagement
Engage in Supervisory Office Visits with assigned OSJ Managers to promote company supervisory practices
Monitors, reports, and enforce internal controls to ensure compliance with industry regulations and the firm’s policies and procedures
Conducts reviews based on findings that violate the firm’s current guidelines and takes appropriate corrective action as needed
Development of new OSJ branch managers and staff regarding firm policies and procedures for compliance
Requirements
5+ years of financial industry experience
2+ years of related experience
FINRA Series 7, 24, 66 (or 63 / 65) are required
Required technical strength to work within the firm’s technology and Microsoft office tools
Strong understanding of relevant FINRA and SEC rules and regulations
Thorough knowledge of securities products (i.e., mutual funds, variable annuities, alternative investments, and individual securities)
Ability to effectively handle and prioritize multiple tasks in a fast-paced team environment to meet defined deadlines
Director of Energy Portfolio Management at Walmart focusing on affordable, reliable, and clean energy strategies. Leading the management of energy spend across deregulated U.S. markets.
Strategic Workforce Planner at Salesforce, serving as advisor for organizational planning and workforce transformation in complex environments. Collaborating cross - functionally to align workforce strategies with business objectives.
Associate Director leading incentive compensation strategy and programs for Rare Disease Business Unit at Amgen. Collaborating with sales leadership and cross - functional teams to drive commercial performance.
Civic Engagement Director at Pennsylvania Voice responsible for leading voter engagement and program development with a focus on strategic planning and team management.
Director of Footwear Product leading SMU Product Creation while collaborating with strategic partners for Reebok. Overseeing product management and team development in a hybrid work environment.
Director of Data & Analytics at Gifthealth, leading enterprise data and analytics strategy. Building and scaling high - performing analytics teams to drive data - driven decision making.
Assistant Kids Culinary Programming Director coordinating kids culinary programs across multiple locations for a culinary studio. Involves administrative tasks and potential teaching roles in kids cooking classes.
Regional Director responsible for driving brand integrity and client experience across luxury retail locations. Leading store teams to maximize sales and operational excellence for AMIRI in the West region.
Virtual Special Education Director at ACCEL Schools overseeing K - 12 special education programs while ensuring compliance with laws and providing leadership.
Solutions Director managing client solutions and business growth across EMEA, responsible for engagement, solution design and implementation leadership.