Osaic is seeking a Regional Supervision Manager to oversee brokerage, advisory and direct transactions ensuring client interests align with firm policies. The role coordinates Outside Business Activities reviews, annual compliance requirements and staff collaboration to safeguard clients and the firm.
The position requires a minimum of three years in transaction reviews, FINRA schemas and strong analytical skills, with a hybrid in-office schedule at one of the listed hubs.
#J-18808-LjbffrRegional Compliance & Supervision Lead (Hybrid) in scottsdale at Unknown Company
This position is listed as full time and hybrid.