Supervision Principal, Electronic Communications Supervision

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: $60,000 - $70,000 per year + annual 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 tasks 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

Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.

Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.