Regional Supervision Manager

TRC's partner, a leading wealth management organization, is hiring a Regional Supervision Manager for a direct hire opportunity! The Regional Supervision Manager (RSM) is responsible for reviewing and supervising brokerage, advisory, and directly held transactions to ensure compliance with regulatory requirements, firm policies, and best-interest standards.

This role offers the opportunity to play a critical part in ensuring regulatory compliance, supporting financial professionals, and safeguarding client interests within a highly collaborative environment.

Responsibilities:
Review brokerage, advisory, and directly held transactions to ensure suitability, best-interest standards, and adherence to firm policies.
Conduct account reviews, transaction supervision, and queue management oversight for assigned Financial Professionals.
Evaluate and approve Outside Business Activities (OBAs), account acceptance requests, and annual compliance requirements.
Monitor supervisory reports and maintain internal controls aligned with FINRA and SEC regulations.
Identify, document, and escalate risk-based findings while partnering with Compliance and Supervision teams on corrective action plans.
Support the onboarding, education, and ongoing development of Financial Professionals and support staff.
Collaborate with Compliance, Supervision, and cross-functional departments on firm initiatives, regulatory projects, and process improvements.

Required Qualifications:
Minimum of 3 years of experience conducting suitability reviews, best-interest transaction reviews, or related supervisory functions within the financial services industry.
Active FINRA Series 7 license.
Active FINRA Series 24 license.
Active FINRA Series 63/65 or Series 66 license.
Strong knowledge of FINRA, SEC, and other applicable regulatory requirements.
Proven ability to manage multiple priorities and deadlines in a fast-paced environment.

TRC Talent Solutions is proud to be an Equal Opportunity Employer (EOE). All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, age, national origin, protected veteran status, disability status, sexual orientation, gender identity or expression, marital status, genetic information, or any other characteristic protected by law. At TRC, we take pride in fulfilling our opportunity to add value to our client's business as their staffing partner, while working tirelessly to connect thousands of individuals each year with work opportunities where they can meet the needs of their families and have the potential to build their careers.