Manager, Electronic Communications Supervision

Supervision Leadership Opportunity in Financial Services

Manager, 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 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-$100,000 per year + annual performance-based 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:Osaic Benefits.

Summary:

We are seeking a driven, motivated leader to join our Electronic Communications Supervision team as the Manager of Electronic Communications Supervision. The role is responsible for the oversight of all aspects of electronic communications of the firm's Financial Professionals to ensure compliance with regulatory standards and internal policies.

The ideal candidate is experienced in supervisory oversights of this nature, highly detail oriented, and proactive in identifying and mitigating risks. They possess strong leadership skills to manage and develop a high-performing team, thrive in a collaborative environment, and communicate effectively with financial professionals and internal partners. This individual demonstrates the ability to manage multiple priorities and projects.

Education Requirements:

Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Responsibilities:

• Responsible for the daily oversight of the department personnel, workflow and processing procedures.
• Review and analyze productivity, service levels and processing procedures to ensure company goals, regulatory requirements and service standards are met.
• Monitors, reports, and enforces internal controls to ensure compliance with industry standards and the firm's policies and procedures.
• Build and maintain effective business relationships with internal departments, financial professionals, and external service providers.
• Develop team members through coaching, training and performance management.
• Serves as subject matter expert to financial professionals on matters pertaining to the department, as well as to internal business partners in understanding and complying with firm and regulatory requirements.
• Manage and build effective business relationships with internal departments, financial professionals, and external service providers.
• Exercise strong problem solving and decision-making skills
• All other duties as assigned.

Basic Requirements:

• 5+ years of experience in the financial services industry with significant experience in Supervision and/or Compliance.
• FINRA Series 7 and 24 required, Series 63/66 or 65 preferred
• Knowledge of financial industry compliance and regulations
• Ability to read and interpret documents including FINRA, SEC and firm policies
• Excellent written and oral communication skills, including the ability to diplomatically find solutions to assist financial professionals.

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
• A collaborative professional with strong initiative, adaptability and strong judgement, committed to delivering exceptional service.
• Familiarity with Arctera and Global Relay email review platforms