What are the responsibilities and job description for the Manager, Electronic Communications Supervision position at Osaic?
Supervision Leadership Opportunity in Financial Services
Manager, 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: $90,000-$100,000 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
We are seeking a driven, motivated leader to join our Electronic Communications Supervision team as the Manager of Electronic Communications Supervision. The role is responsible for the oversight of all aspects of electronic communications of the firm’s Financial Professionals to ensure compliance with regulatory standards and internal policies.
The ideal candidate is experienced in supervisory oversights of this nature, highly detail oriented, and proactive in identifying and mitigating risks. They possess strong leadership skills to manage and develop a high-performing team, thrive in a collaborative environment, and communicate effectively with financial professionals and internal partners. This individual demonstrates the ability to manage multiple priorities and projects.
Education Requirements
Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.
Responsibilities
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.
Eligibility
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.
Unqualified Applications
Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
Recruiting Agencies
Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.
Manager, 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: $90,000-$100,000 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
We are seeking a driven, motivated leader to join our Electronic Communications Supervision team as the Manager of Electronic Communications Supervision. The role is responsible for the oversight of all aspects of electronic communications of the firm’s Financial Professionals to ensure compliance with regulatory standards and internal policies.
The ideal candidate is experienced in supervisory oversights of this nature, highly detail oriented, and proactive in identifying and mitigating risks. They possess strong leadership skills to manage and develop a high-performing team, thrive in a collaborative environment, and communicate effectively with financial professionals and internal partners. This individual demonstrates the ability to manage multiple priorities and projects.
Education Requirements
Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.
Responsibilities
- Responsible for the daily oversight of the department personnel, workflow and processing procedures.
- Review and analyze productivity, service levels and processing procedures to ensure company goals, regulatory requirements and service standards are met.
- Monitors, reports, and enforces internal controls to ensure compliance with industry standards and the firm’s policies and procedures.
- Build and maintain effective business relationships with internal departments, financial professionals, and external service providers.
- Develop team members through coaching, training and performance management.
- Serves as subject matter expert to financial professionals on matters pertaining to the department, as well as to internal business partners in understanding and complying with firm and regulatory requirements.
- Manage and build effective business relationships with internal departments, financial professionals, and external service providers.
- Exercise strong problem solving and decision-making skills
- All other duties as assigned.
- 5 years of experience in the financial services industry with significant experience in Supervision and/or Compliance.
- FINRA Series 7 and 24 required, Series 63/66 or 65 preferred
- Knowledge of financial industry compliance and regulations
- Ability to read and interpret documents including FINRA, SEC and firm policies
- Excellent written and oral communication skills, including the ability to diplomatically find solutions to assist financial professionals.
- Must be able to work in a team environment and support other colleagues as needed.
- Must be able to prioritize and handle multiple tasks and deadlines simultaneously
- A collaborative professional with strong initiative, adaptability and strong judgement, committed to delivering exceptional service.
- Familiarity with Arctera and Global Relay email review platforms
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.
Eligibility
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.
Unqualified Applications
Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
Recruiting Agencies
Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.
Salary : $90,000 - $100,000