Field Supervision Director - Multi Custody Channel

Field Supervision Director Opportunity in Financial Services

Field Supervision Director - Multi Custody Channel

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: $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:Osaic Benefits.

Summary:

The Multi-Custody Channel Field Supervision Director provides direct supervision leadership and support as the named First Line Supervisor (FLS) for a designated region of financial advisors. In this capacity, the role conducts centralized supervisory reviews as a core function of the Field Supervision department, ensuring compliance with firm policies, regulatory standards (including FINRA and SEC requirements), and best practices for advisor activities.

The ideal candidate will perform daily supervisory functions under the coordination and delegation of department leadership, while proactively embracing and leading change initiatives as Osaic continues to grow, integrate operations, and evolve in a dynamic wealth management environment. This includes assuming delegated First Line Supervisor responsibilities to support regional advisor oversight, performance guidance, risk management, and team alignment.

The following is an overview of the functions that will be performed by the Field Supervision Director. However, due to an ever-changing regulatory environment in which we operate and the growth and evolution of the firm, flexibility is required as details of the work assignments may change over time.

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:

• Embrace a dynamic environment where challenges will require flexibility and new ideas.
• Provides support to direct leadership by assuming delegated FLS (First Line Supervisor) responsibilities and providing other supervisory assistance as required.
• Handle Escalated matters as the designated point of contact for their region, including resolution of surveillance alerts, compliance referrals, and other supervisory issues elevated from advisors or internal teams, ensuring timely and appropriate corrective actions in alignment with firm policies and regulatory standards.
• Conduct Supervisory Office Visits of OSJ branches, performing on-site or virtual reviews to assess compliance, risk management, business practices, and adherence to firm guidelines.
• Serve as a Subject Matter Expert (SME) and trainer, providing guidance, expertise, and formal training to financial advisors and branch personnel on supervisory procedures, regulatory requirements, compliance best practices, and policy updates.
• Monitors, reports, and enforces internal controls to ensure compliance with industry standards and the firm's policies and procedures.
• Develops and maintains strong rapport with the field as well as internal partners.
• Identify suspicious patterns of practice. Conduct investigations based on findings that violate policy and take appropriate corrective action as needed in collaboration with leadership.
• Assist in coordinating and enforcing Heightened Supervision of Branch offices as needed.
• Work on delegated and collaborative projects with Field Supervision Leadership, Advisor Support, Legal and Compliance.
• Work with various engagement models to ensure the Supervision support is providing consistent, accurate and timely service.

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.
• Team player who possesses great initiative, flexibility, excellent judgment and knows how to provide indispensable service.
• Occasional business travel as needed.

Preferred Requirements:

• FINRA Series 4 & 53
• Life, Health, Sickness & Variable Annuity Insurance licenses