Regional Supervision Manager (Hybrid)
advisor groupAtlanta, GA
Regional Supervision Manager (Hybrid)
advisor groupAtlanta, GALead L6
Investment Banking and Securities IntermediationPortfolio Management and Investment AdviceMiscellaneous Financial Investment Activities
APPLY NOWOsaic is seeking a Regional Supervision Manager (RSM) to oversee account reviews, acceptance testing, and transaction reviews across Brokerage, Advisory and Direct accounts. You will ensure activities align with firm policies and regulatory requirements, coordinating with home office staff to protect clients and the firm.
Bachelor’s degree preferred; 3+ years in suitability reviews; FINRA Series 7 and 24 or 63/65/66 required.
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Level
Lead L6
Location
Atlanta, GA
Occupation
Financial Managers
Industry
Investment Banking and Securities Intermediation
Posted
2 days ago