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60 Advisor Group It Project Manager Jobs Hiring Near You

Advisor Group

Regional Supervision Manager

Scottsdale, AZ · On-site

$70K - $80K/yr

Works on delegated and collaborative projects with all departments and upper management to include the tracking of said projects to ensure completeness (i.e. Outside Business Activity Questionnaire ...

Advisor Group

Client Support Representative

La Vista, NE · On-site

$50K - $55K/yr

Communicate with clients regarding missing information or required corrections Quality & Compliance ... Management, Broker-Dealer, Financial Advisor, Support Representative, Customer Service ...

Advisor Group

Sales Supervision Principal

Scottsdale, AZ · On-site

$65K - $75K/yr

Maintains an ongoing positive relationship with Advisors and First-Line Supervisors in collaboration with the Supervision of Regional Vice Presidents (SRVPs) and Regional Sales Managers (RSMs) * All ...

Advisor Group

Equity Trader

La Vista, NE · On-site

$53K - $65K/yr

Service the trading needs of representatives for the Osaic Advisor Network * Process and facilitate ... Prioritize information that needs immediate attention. * Ensure timely follow-up concerning all ...

Advisor Group

Senior Accountant

Scottsdale, AZ · On-site

$85K - $105K/yr

In this role, you will be leading various accounting efforts including process improvement over assigned areas, working closely with manager on various projects, and mentoring junior team members.

Advisor Group

Quantitative Analyst I

Scottsdale, AZ · On-site

$57K - $63K/yr

... manage performance. As a junior analyst, you will work closely with senior team members to learn analytical frameworks, build foundational technical skills, and contribute to meaningful projects.

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Regional Supervision Manager

Advisor Group

Scottsdale, AZ • On-site

$70K - $80K/yr

Full-time

Medical, Dental, Vision, Retirement

Re-posted 13 days ago

Job description

Current Employees and Contractors Apply Here
Osaic Careers
Field Supervision Opportunity in Financial Services
Regional Supervision Manager
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: $70,000 - $80,000 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 Manager (RSM) is responsible for the review of Brokerage, Advisory and Directly held transactions as presented within the back-office systems; ensuring those transactions are in the client's best interest, based on stated firm policies and procedures. The Regional Supervision Manager will also assist in the review of Financial Professionals requests for approval of Outside Business Activities, Account Reviews/Acceptance and completion of annual firm requirements such as the Annual Compliance Meeting, Annual Compliance Questionnaire and Firm Element requirements. The RSM will help coordinate efforts between other home office staff members to ensure business is processed in accordance with the firm's policies and procedures to protect the client, the firm and Field Supervisors.
Education Requirements:
  • Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Responsibilities:
  • Work with various engagement models to ensure the Supervision support is providing consistent, accurate and timely service.
  • Conduct transaction and account review for all transactions for direct reports.
  • Ensure proper business and sales practices are followed by the daily review of queue management reports.
  • Monitor reports and enforce internal controls to ensure compliance with industry standards and the firm's policies and procedures.
  • Collaboration with Regional Supervision Team.
  • Maintains ongoing positive relationships, acting as a guide and resource to all OSJ Managers and support staff in collaboration with Supervision, Compliance and other field-facing partners while ensuring understanding and compliance with all firm and industry requirements by proactively communicating the firm's policies and procedures.
  • Supports the education, development and training of newly affiliated Financial Professionals, delegates, and staff with regards to broker dealer policies and procedures.
  • Functions as the home office liaison and primary contact for Financial Professionals on supervision issues.
  • Identify and assess risk-based reviews for findings deemed to be in violation of the department's current guidelines and takes appropriate corrective action as needed in collaboration with others on the Supervision team and Compliance.
  • Works on delegated and collaborative projects with all departments and upper management to include the tracking of said projects to ensure completeness (i.e. Outside Business Activity Questionnaire, Annual Compliance Meetings, Firm Element Continuing Education, Annual Representative Renewals, etc.).

Basic Requirements:
  • Minimum three years related experience conducting suitability/best interest review of transactions or relevant industry experience understanding current products and procedures.
  • FINRA Series 7, Series 24 and Series 63/65 or 66 required
  • Understanding of relevant FINRA and SEC.
  • Ability to effectively handle and prioritize multiple tasks in a fast-paced team environment to meet defined deadlines.
  • Ability to work in a time-sensitive environment.
  • Excellent analytical and problem-solving skills.

Preferred Requirements:
  • FINRA Series 4 and or/53 (could be obtained at a later date)

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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