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60 Advisor Group Jobs Hiring Near You

Advisor Group

Financial Analyst II

Scottsdale, AZ · On-site

$80K - $90K/yr

Monitors Advisor terminations and build reporting to help drive business conversation * Answers inquiries from both external and internal customers regarding profitability, transactions ...

Advisor Group

Compensation Consultant

Scottsdale, AZ · Hybrid

$100K - $125K/yr

Serve as a trusted advisor to HR Business Partners and business leaders on offers, promotions, market adjustments, and pay decisions * Provide practical, data-informed recommendations in a fast ...

Advisor Group

Application Developer

Scottsdale, AZ · On-site

$80K - $90K/yr

... advisor-facing applications. A collaborative and entrepreneurial approach will drive success as you use Microsoft Azure, .NET and AI tools to innovate and build new features to service over 11,000 ...

Advisor Group

Finance Manager, Technology

Scottsdale, AZ · On-site

$120K - $140K/yr

Act as a trusted advisor to the executive team, offering insights into financial trends and operational performance. * Lead the development and implementation of financial planning, budgeting, and ...

Advisor Group

Business Development Manager

Atlanta, GA · On-site

$55K - $60K/yr

Provide a five-star experience to prospective financial advisors by guiding them through recruiting and onboarding. * Partner with branch offices and external recruiters to support recruiting and ...

Advisor Group

VP, Relationship Management

Oakdale, MN · On-site

$150K - $175K/yr

We are looking for a driven and motivated individual to join our Advisor Engagement team. The VP, Relationship Management role will drive strategy and execution within the field of financial ...

Advisor Group

Senior Surveillance Analyst

Oakdale, MN · On-site

$84K - $94K/yr

The Sr. Surveillance Analyst will be responsible for completing Field Advisor and product activity-based reviews. This position reports to the Manager of Surveillance. Education Requirements:

Advisor Group

IAM Engineer II

Scottsdale, AZ · On-site

$120K - $156K/yr

Ensure group based and role-based access is assigned accurately and timely. * Troubleshoot identity issues such as failed provisioning tasks, directory sync, and entitlement assignments. * Process ...

Advisor Group

Storage Engineer I

La Vista, NE · On-site

$60K - $79K/yr

Knowledge of Microsoft clustering, Active Directory, Group Policy, DNS, and Windows networking * Knowledge of TCP/IP with the ability to demonstrate and describe networking fundamentals. * Knowledge ...

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Infographic showing various job openings at Advisor Group in the United States as of July 2026, with employment types broken down into 98% Full Time, and 2% Part Time. Highlights an 85% Physical, 13% Hybrid, and 2% Remote job distribution.
Regional Supervision Director

Regional Supervision Director

Advisor Group

Scottsdale, AZ • On-site

$80K - $86K/yr

Full-time

Medical, Dental, Vision, Retirement

Posted 17 days ago

Job description

Current Employees and Contractors Apply Here
Osaic Careers
Supervision Director Opportunity in Financial Services
Regional Supervision Director
Location(s):
Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339
St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702
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
Osaic is not considering remote candidates at this time.
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: $80,000 - $86,000 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: https://careers.osaic.com/Creative/Benefits.
Summary:
The Regional Supervision Director performs the functions of a registered principal related to the supervisory duties delegated by the Supervision Regional Vice President ("SRVP"). The Regional Supervision Director supports efforts of the Supervision Regional Vice President to ensure the business is processed in accordance with firm policies and procedures.
Education Requirements:
  • Bachelor's degree preferred, high school diploma (or equivalent) in combination with practical experience will be considered in lieu of degree. A minimum high school diploma or equivalent is required.

Responsibilities:
  • Provides support to the SRVP by assuming delegated responsibilities and providing other supervisory assistance as required.
  • Maintains an ongoing positive relationship with Financial Professionals, OSJ Branch Managers and support staff in collaboration with the SRVP, Compliance, and Advisor Engagement.
  • Engage in Supervisory Office Visits with assigned OSJ Managers to promote company supervisory practices, follow up on branch exam findings, and proactively address potential compliance issues to minimize risk to the Financial Professional, the OSJ, and the firm.
  • Home office liaison and primary contact during travel of the SRVP.
  • Monitors, reports, and enforce internal controls to ensure compliance with industry regulations and the firm's policies and procedures.
  • Assists in implementing policy and procedures for facilitating supervision of new and existing initiatives.
  • Identifies patterns of concerning practices. Conducts reviews based on findings that violate the firm's current guidelines and takes appropriate corrective action as needed in collaboration with the SRVP.
  • Development of new OSJ branch managers and staff regarding firm policies and procedures for compliance and conduct training on technology used for supervision.
  • Assist in developing and enforcing Heightened Supervision and Financial Action Plans.
  • Maintain records and files as outlined in the department's policy and procedures.
  • Monitor, report, and enforce internal controls to ensure compliance with industry regulations and the firm's policies and procedures.
  • Work on delegated and collaborative projects with the SRVP, Advisor Engagement, Legal and Compliance to include the tracking of projects to ensure completeness.
  • Responsible for review of Outside Business Activities, Resolution of Branch Office Deficiencies, Completion of Annual Compliance Requirements and Surveillance reviews.
  • Travel required as dictated by the above responsibilities.

Basic Requirements:
  • 5+ years of financial industry experience.
  • 2+ years of related experience.
  • FINRA Series 7, 24, 66 (or 63 / 65) are required.
  • Required technical strength to work within the firm's technology and Microsoft office tools.
  • Strong understanding of relevant FINRA and SEC rules and regulations including 3110, 40 ACT, Reg BI and DOL PTE.
  • Thorough knowledge of securities products (i.e., mutual funds, variable annuities, alternative investments, and individual securities), compliance requirements, and the broker dealer and investment advisor industry.
  • Ability to effectively handle and prioritize multiple tasks in a fast-paced team environment to meet defined deadlines.
  • Ability to travel approximately 25%

Preferred Requirements:
  • FINRA Series 4 & 53 preferred.
  • Resident State Life, Health & Sickness, and Variable Annuity insurance licenses.
Current Employees and Contractors Apply Here
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About Advisor Group

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Be a part of the team behind our success! At Advisor Group, we support financial professionals nationwide, the people who help everyday Americans achieve their dreams. We're a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Industry

Finance and insurance

Company size

1,001 - 5,000 Employees

Headquarters location

Phoenix, AZ, US

Year founded

1988

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