Talent.com
Director, Electronic Communications Supervision
Director, Electronic Communications SupervisionOsaic • Saint Paul, MN, US
Director, Electronic Communications Supervision

Director, Electronic Communications Supervision

Osaic • Saint Paul, MN, US
17 days ago
Job type
  • Full-time
Job description

Director, Electronic Communications Supervision

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 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 : $125,000 - $135,000 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.

Summary :

We are looking for a driven and motivated leader to join our Supervision organization. The Director, Electronic Communications ("E-Comm") Supervision will be responsible for building and leading a centralized team of SMEs to carry out all aspects of electronic communications supervision and will support the Head of Supervision in creating a culture within the team that exemplifies Osaic's core values. The ideal candidate will exhibit leader behaviors to grow team members and foster collaborative relationships both internally and externally, while also leaning into and leading change as Osaic continues to grow and evolve.

Education Requirements :

  • Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree. A minimum high school diploma or equivalent is required.

Responsibilities :

  • Manage and guide the e-comm review team, ensuring timely identification, escalation, and resolution of risks.
  • Collaborate with internal and external stakeholders to handle escalated issues and ensure appropriate follow-up in line with regulations.
  • Drive improvements in surveillance training by contributing subject matter expertise to compliance training efforts.
  • Design and manage performance metrics and reporting tools (e.g., MIS, KPIs, KRIs) to measure program effectiveness and surface critical findings.
  • Lead the implementation and optimization of surveillance systems, ensuring alignment with regulatory requirements and industry best practices.
  • Partner with Data Analytics teams to develop and refine models that enhance surveillance capabilities.
  • Maintain up-to-date knowledge of evolving regulatory expectations and surveillance trends to keep the program forward-looking and robust.
  • Basic Requirements :

  • 10+ years of experience in the financial services industry with majority of the time spent on Supervision or Compliance in e-communications positions
  • Knowledge of financial industry compliance and regulations
  • General knowledge of public and privately traded securities and managed account platforms
  • Regulatory knowledge of Investment Adviser's Act of 1940 and FINRA regulations
  • FINRA Series 7, 24, 65 or 66 licenses (Series 4 and 53 preferred)
  • Working knowledge of industry standard e-communications archival and supervision tools (i.e. Global Relay, SMARSH, Arctera).
  • Preferred Requirements :

  • Must be able to work in a team environment and support other colleagues as needed
  • Must be able to prioritize and handle multiple tasks and deadlines simultaneously
  • Team player who possesses great initiative, flexibility, excellent judgment and knows how to provide indispensable service
  • Business travel as needed
  • Create a job alert for this search

    Director Communication • Saint Paul, MN, US

    Related jobs
    Delivery Driver - No Experience Needed

    Delivery Driver - No Experience Needed

    DoorDash • Red Wing, MN, United States
    Full-time +1
    DoorDash is the #1 category leader in food delivery, food pickup, and convenience store delivery in the US, trusted by millions of customers every day. As a Dasher, you’ll stay busy with a variety o...Show more
    Last updated: 17 hours ago • Promoted • New!
    District Manager

    District Manager

    Planet Fitness - PF Baseline Fitness • Stillwater, MN, US
    Full-time
    Responsible for managing everything within the four walls for all Planet Fitness locations in a defined Planet Fitness district. District Managers will have between 4-8 locations per district, inclu...Show more
    Last updated: 18 hours ago • Promoted • New!
    Senior Director, Engineering

    Senior Director, Engineering

    Ecolab Inc. • St Paul, Minnesota, United States of America
    Full-time
    As the Senior Engineering Director, you will set and maintain reliability standards across network sites, working closely with managers to drive KPIs and improve asset management.You will oversee c...Show more
    Last updated: 30+ days ago • Promoted
    Director of Materials Management

    Director of Materials Management

    SYNTEGON • New Richmond, WI, US
    Full-time
    Shape the Future of Packaging with Us.Join a global team of 6,900 passionate professionals innovating at the forefront of packaging technology in the pharmaceutical and food industries.From ensurin...Show more
    Last updated: 30+ days ago • Promoted
    Director of Advanced Manufacturing Engineering

    Director of Advanced Manufacturing Engineering

    Trystar Inc • Burnsville, MN, US
    Full-time
    Trystar is a leader in power distribution, power conditioning, load bank, renewable energy equipment and related services at the heart of supporting our electrical infrastructure.Our team members f...Show more
    Last updated: 21 days ago • Promoted
    Senior Manager - Electromechanical Systems Engineering

    Senior Manager - Electromechanical Systems Engineering

    Trystar Inc • Burnsville, MN, US
    Full-time
    Senior Manager - Electromechanical Systems Engineering – MN; TX.Trystar is at the forefront of advancing power solutions, charged and driven by a committed, dynamic team, tackling complex cha...Show more
    Last updated: 4 days ago • Promoted
    Director, Strategic Finance

    Director, Strategic Finance

    Insomnia Cookies • Center City, MN, US
    Full-time
    Director of Strategic Finance t.Marketing, Growth, Operations, and Supply Chain leaders, driving the next phase of sustainable, profitable growth across the business. Day Work Week (yuppp, we get ev...Show more
    Last updated: 15 days ago • Promoted
    Systems Engineer

    Systems Engineer

    Street Smart • Columbus, MN, United States
    Full-time
    We all get a choice to either step out of the way and let uncertainty and opportunity go whizzing by or get out in front of it. At Street Smart, we team up with others bent on turning corners instea...Show more
    Last updated: 22 days ago • Promoted
    Director Compensation

    Director Compensation

    Compeer Financial • Lakeville, MN, United States
    Full-time
    Compeer Financial is a member-owned cooperative located in Illinois, Minnesota and Wisconsin.We bring together team members with a variety of backgrounds and experiences to help provide financial s...Show more
    Last updated: 30+ days ago • Promoted
    EHS Manager

    EHS Manager

    INTEK PLASTICS LLC • Hastings, MN, US
    Full-time
    Environmental, Health & Safety (EHS) Manager.Multi-Site | Multi-State | Manufacturing | Culture-Focused Leadership.Hastings, MN with regional support. Are you an experienced EHS leader ready to ...Show more
    Last updated: 4 hours ago • Promoted • New!
    Remote Finance Director - AI Trainer ($50-$60 / hour)

    Remote Finance Director - AI Trainer ($50-$60 / hour)

    Data Annotation • Coon Rapids, Minnesota
    Remote
    Full-time +1
    We are looking for a finance professional to join our team to train AI models.You will measure the progress of these AI chatbots, evaluate their logic, and solve problems to improve the quality of ...Show more
    Last updated: 10 days ago • Promoted
    Senior Director, Data Center Engineering (Remote - USA)

    Senior Director, Data Center Engineering (Remote - USA)

    Cologix • Minneapolis, MN, US
    Remote
    Full-time
    Based in Denver, Colorado, Cologix is North America's leading network-neutral interconnection and hyperscale edge data center company. Our platform gives customers access to 45+ digital edge and...Show more
    Last updated: 15 days ago • Promoted
    Director, Operations

    Director, Operations

    Apothecary Products • Burnsville, MN, US
    Full-time
    The Career – What You Will Do.Apothecary Products, LLC (APL) is seeking a talented Director of Operations to join our team in Burnsville, Minnesota! In this role, you will be responsible for ...Show more
    Last updated: 24 days ago • Promoted
    Program Supervisor

    Program Supervisor

    Rudolph Community and Care • Elko New Market, MN, US
    Full-time
    Rudolph Community & Care is a private person-centered organization providing adult foster care to vulnerable adults.We are a growing company, with plans to expand our services in the south metro in...Show more
    Last updated: 1 hour ago • Promoted • New!
    Sonography Tech in Red Wing, Minnesota - $2,408 / week

    Sonography Tech in Red Wing, Minnesota - $2,408 / week

    Vetted Health • Red Wing, MN, US
    Full-time
    Vetted is seeking a Sonography Tech for a travel job in Red Wing, Minnesota.The assignment starts on Dec 1 and is 9 weeks long with 8 hour shifts 5 days a week. You must live 60 miles away from the ...Show more
    Last updated: 7 hours ago • Promoted • New!
    Manager Client Digital Experience

    Manager Client Digital Experience

    Compeer Financial • Lakeville, MN, US
    Full-time
    Compeer Financial is a member-owned cooperative located in Illinois, Minnesota and Wisconsin.We bring together team members with a variety of backgrounds and experiences to help provide financial s...Show more
    Last updated: 30+ days ago • Promoted
    Director of Procurement

    Director of Procurement

    Insomnia Cookies • Center City, MN, US
    Full-time
    Insomnia Cookies, leading strategic sourcing, supplier management, and purchasing execution across ingredients, packaging, equipment, fixtures, and services. This role is critical to enabling cost o...Show more
    Last updated: 15 days ago • Promoted
    Operations Director

    Operations Director

    Urban Strategies, Inc. • Minneapolis, MN, US
    Full-time
    USI is a national nonprofit with extensive experience in the design and implementation of place-based human capital development strategies in. Founded in 1978, USI is a leader in community developme...Show more
    Last updated: 30+ days ago • Promoted