Regional Supervision Manager
$70,000–$80,000 year
Hybrid · Atlanta, Georgia, United States or St. Petersburg, Florida, United States
Job Summary
Regional Supervison Manager responsible for reviewing Brokerage, Advisory and Directly held transactions to ensure client interests align with firm policies. Coordinates with home office staff, ensures compliance with industry standards, and oversees reviews of Outside Business Activities, Account Reviews/Acceptance, and annual firm requirements (e.g., Annual Compliance Meetings, Firm Element Continuing Education, and Annual Representative Renewals). Supports training of affiliated Financial Professionals, acts as liaison for supervision issues with OSJ Managers and compliance teams, and leads risk-based reviews for findings in violation of guidelines. Requires 3+ years relevant experience, FINRA licenses (7, 24, 63/65 or 66), and a Bachelor’s degree preferred; hybrid work with a minimum of 4 days in the office across listed hubs.
Required Qualifications
- Minimum three years related experience conducting suitability/best interest review of transactions or relevant industry experience
- FINRA Series 7, Series 24 and Series 63/65 or 66 required
- Bachelor’s degree preferred; high school diploma (or equivalent) required
- Ability to effectively handle and prioritize multiple tasks in a fast-paced team environment
- Understanding of FINRA and SEC regulations and broker-dealer policies
Desired Qualifications
- Bachelor’s degree preferred
- high school diploma (or equivalent) required
- FINRA Series 7, Series 24 and Series 63/65 or 66 required
- 3+ years of experience in supervision, transaction review, or related field
- strong analytical and problem-solving skills
- ability to manage multiple tasks in fast-paced environment
- understanding of broker-dealer policies and SEC/FINRA rules
- experience coordinating with compliance and home office teams
Apply with one swipe on Sorce. We auto-fill applications and apply on your behalf — no cover letters, no 40-minute forms.
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.