TRC is seeking a Regional Supervision Manager to join one of our wealth management clients of an exciting direct hire position!
Role Overview
The Regional Supervision Manager (RSM) oversees the supervision and review of brokerage, advisory, and directly held transactions to ensure compliance with firm policies, regulatory standards, and clients’ best interests. This role serves as a key liaison between Financial Professionals, Field Supervisors, Compliance, and Home Office teams, helping protect clients, the firm, and supervisory partners.
Key Responsibilities
Review brokerage, advisory, and direct transactions to ensure suitability, best interest, and policy adherence
Conduct account reviews, transaction supervision, and queue management oversight for assigned Financial Professionals
Evaluate and approve Outside Business Activities, account acceptance, and annual compliance requirements
Monitor supervisory reports and enforce internal controls aligned with FINRA and SEC regulations
Identify and escalate risk-based findings; partner with Supervision and Compliance on corrective actions
Serve as the primary home office contact for supervision-related inquiries
Support onboarding, education, and ongoing training of Financial Professionals and support staff
Collaborate cross-functionally with Supervision, Compliance, and other departments on firm initiatives and regulatory projects
Required Qualifications
Minimum 3 years of experience conducting suitability or best interest transaction reviews within financial services
Active FINRA Series 7, 24, and 63/65 or 66
Strong knowledge of FINRA and SEC regulations
Proven ability to manage multiple priorities in a fast-paced, deadline-driven environment
Excellent analytical, organizational, and problem-solving skills
FINRA Series 4 and/or 53 (or willingness to obtain)
Bachelor’s degree preferred; equivalent experience considered
Compensation & Benefits
Competitive total compensation package including medical, dental, vision, 401(k), paid time off, volunteer days, and more.
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.