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Osj Supervisor Jobs (NOW HIRING)

Td

Principal Review Analyst - Charlotte, NC

Exton, PA

$72K - $117K/yr

TD Wealth The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of Supervisory Jurisdiction (OSJ). This job assists in the regulatory ...

Td

Principal Review Analyst - Charlotte, NC

Vienna, VA · On-site

$72K - $117K/yr

TD Wealth The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of Supervisory Jurisdiction (OSJ). This job assists in the regulatory ...

Td

Principal Review Analyst - Charlotte, NC

Boston, MA · On-site

$72K - $117K/yr

TD Wealth The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal position with the Central Office of Supervisory Jurisdiction (OSJ). This job assists in the regulatory ...

Cambridge Investment Research, Inc.

... supervisory judgment. Key Responsibilities * Review, analyze, and approve daily transactions ... Provide review and oversight of OSJ approval trades and brokerage account transactions for ...

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Osj Supervisor information

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$27.5K

$81.7K

$137.5K

How much do osj supervisor jobs pay per year?

As of Sep 14, 2026, the average yearly pay for osj supervisor in the United States is $81,677.00, according to ZipRecruiter salary data. Most workers in this role earn between $50,000.00 and $116,500.00 per year, depending on experience, location, and employer.

What is an OSJ Supervisor?

An OSJ Supervisor, or Office of Supervisory Jurisdiction Supervisor, is a financial services professional responsible for overseeing compliance and supervisory activities within an OSJ branch of a broker-dealer firm. They ensure that registered representatives adhere to industry regulations, company policies, and ethical standards. OSJ Supervisors review transactions, approve advertising materials, and handle escalated client issues to maintain regulatory compliance. Their role is crucial in preventing misconduct and protecting both clients and the firm.

What are the key skills and qualifications needed to thrive as an OSJ Supervisor?

To thrive as an OSJ Supervisor, you need in-depth knowledge of financial regulations, supervisory procedures, and compliance standards, usually backed by FINRA Series 24 and other relevant securities licenses. Familiarity with compliance monitoring systems, trade surveillance tools, and documentation platforms is essential. Exceptional attention to detail, strong leadership abilities, and effective communication skills help in managing teams and ensuring regulatory adherence. These competencies are crucial for maintaining firm compliance, mitigating risk, and fostering ethical practices in a financial advisory environment.

What are some common challenges faced by an OSJ Supervisor and how can they be managed effectively?

An OSJ Supervisor often encounters challenges such as staying updated with evolving compliance regulations, ensuring consistent supervision across multiple representatives, and balancing administrative duties with coaching responsibilities. Effective management involves continuous training, leveraging compliance technology, and fostering open communication within the team. Proactively addressing potential compliance issues and maintaining strong organizational systems can help minimize risks and support both the firm's and representatives' success.

What is the difference between Osj Supervisor vs Osj Coordinator?

AspectOsj SupervisorOsj Coordinator
Required CredentialsHigh school diploma or equivalent; relevant certificationsHigh school diploma or equivalent; relevant certifications
Work EnvironmentSupervises staff, manages daily operations in financial or securities firmsAssists in operational tasks, supports team coordination in similar settings
Employer & Industry UsageFinancial services, securities firms, brokerage companiesFinancial institutions, securities firms, brokerage firms

Osj Supervisors oversee daily operations and staff in financial firms, ensuring compliance and efficiency. Osj Coordinators support these activities by assisting with operational tasks. Both roles require similar credentials and work environments, but Supervisors hold more responsibility for management and decision-making.

What cities are hiring for Osj Supervisor jobs?

Cities with the most Osj Supervisor job openings:

What states have the most Osj Supervisor jobs?

States with the most job openings for Osj Supervisor jobs include:

What are popular job titles related to Osj Supervisor jobs?

For Osj Supervisor jobs, the most frequently searched job titles are:

Infographic showing various Osj Supervisor job openings in the United States as of September 2026, with employment types broken down into 1% As Needed, 76% Full Time, 20% Part Time, 2% Contract, and 1% Nights. Highlights an 89% In-person, and 11% Remote job distribution, with an average salary of $81,677 per year, or $39.3 per hour.

Supervision Principal

Phoenix, AZ • On-site

Cambridge Investment Research, Inc.
See more jobs at Cambridge Investment Research, Inc.external

Full-time

Medical, Dental, Vision, Life, Retirement, PTO

Posted 13 days ago

Job description

Job Summary
Key Deliverables and Responsibilities
Cambridge is seeking an Advocacy and Supervision Principal to join the Advocacy and Supervision department. This role is responsible for reviewing, analyzing, and approving daily transactions and account activity while helping ensure adherence to firm policies, clearing firm requirements, and applicable regulatory standards. The ideal candidate is a thoughtful, detail-oriented decision-maker who can assess complex situations, identify potential risk, and balance service with sound supervisory judgment.
Key Responsibilities:
  • Review, analyze, and approve daily transactions, including Mutual Funds, Variable Annuities, Variable Life, 529 Plans, and Direct Participation Programs/Real Estate Investment Trusts.
  • Review client information, suitability forms, new account documentation, sponsor applications, third-party money manager agreements, CIRA advisory agreements, and independent advisory paperwork for completeness, accuracy, and acceptance.
  • Provide review and oversight of OSJ approval trades and brokerage account transactions for financial professionals reporting to the home office.
  • Use the firm's compliance engine, dual brokerage platforms, clearing firm reports, and custom reporting tools to conduct supervisory reviews and identify activity that may require escalation.
  • Research complex questions, assess suitability and risk, and make independent recommendations while maintaining strong working relationships with financial professionals and internal partners.
  • Ensure adherence to firm policies and procedures, clearing firm policies, and applicable requirements; inform management of potential violations or concerns.
  • Provide professional, courteous problem-solving and troubleshooting support for inbound phone calls, voicemails, emails, and occasional in-person inquiries from existing and new financial professionals and staff.
  • Assist with the organization, development, and delivery of training programs and materials for new and existing financial professionals, including phone training and administrative workshops.

What We Are Looking For
A strong Principal investigates rather than simply processes. They ask thoughtful questions such as, "What am I missing?", "Does this make sense?", "What is the client's objective?", and "Is there a pattern here?" They are willing to go where the work is, navigate available resources, make difficult decisions when they are the right decisions, and escalate concerns appropriately.
Education and Experience:
  • 2+ years of related experience, education, and/or training in supervision, compliance, brokerage operations, financial services, or a related field.

Licensing:
  • FINRA Series 7 and Series 24 licenses are required.

Location: Phoenix, AZ or Fairfield, IA - hybrid attendance (in-office 3 days/week)
Why Cambridge?
Cambridge has competitive benefits and promotes a work/life balance to encourage individual success.
  • Premium benefit package including medical, vision, dental, life and long-term disability insurance
  • Vacation/sick time
  • 401K retirement plan with company matching program
  • Eleven paid holidays

You can find more details about our comprehensive benefits package here.
Cambridge Overview:
Cambridge is a financial solutions firm that provides business support services to thousands of independent financial advisors. These advisors offer personalized investment services including wealth management, financial planning, and retirement services to individuals and families across the country. Cambridge provides significant compliance, technology, and transaction processing support to these financial advisors and their offices.

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