Supervision Principal, Electronic Communications Supervision
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Overview
Job Description
Current Employees and Contractors Apply Here
Osaic Careers
Supervision Opportunity in Financial Services
Supervision Principal, 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: $70,000 - $75,000 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:
The Supervision Principal position is focused on carrying out supervisory responsibilities related to electronic communications of the firm’s Financial Professionals to ensure compliance with regulatory standards and internal policies. The ideal candidate is proactive in identifying and mitigating risks and thrives in a collaborative environment.
Outlined below are the primary responsibilities associated with this position. Due to the dynamic nature of the regulatory environment and the ongoing evolution of the firm, job duties and specific assignments may change as business needs require.
Education Requirements:
- Bachelor’s Degree Preferred, H.S. Diploma or GED certificate + Significant Practical Experience will be considered
Responsibilities:
- Review of electronic communications for the financial professionals, including emails, text messages, and Teams messages
- Works with financial professionals to address concerns and to educate concerning firm policies
- Works with management and other supervision/compliance personnel on escalated issues
- Work independently to ensure department deadlines are met and service levels are maintained
- Develop and maintain ongoing relationships with team members, internal business partners, and Financial Professionals
- Participate in ongoing training to develop proficiency and expertise in supervision systems and ability to identify areas of risk in communications
Basic Requirements:
- FINRA Series 7, 24 (or 9/10) are required
- Basic understanding of FINRA and SEC rules regarding communications with the public
- Ability to effectively handle and prioritize multiple task in a fast-paced environment to meet defined deadlines
- Strong analytical and problem-solving skills
- Ability to work in a time-sensitive environment
- Excellent written and oral communication skills, including the ability to diplomatically find solution to assist Financial Professionals and internal business partners
- Ability to read and interpret documents, including firm policy/procedures and regulatory documents
Preferred Requirements:
- 2+ years’ experience in a Principal capacity
- 63/65 or 66 preferred
- Currently or previously employed at an independent broker-dealer
Current Employees and Contractors Apply Here
Automate your job search with Sonara.
Submit 10x as many applications with less effort than one manual application.
