Supervision Regional Vice President

Supervision Regional Vice President

The Supervision Regional Vice President (SRVP) is responsible for leading a team of Regional Supervision Managers within the Field Supervision Department and will support the VP of Field 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.

The following is an overview of the functions that will be performed by the SRVP. However, due to an ever-changing regulatory environment in which we operate and the growth and evolution of the firm, flexibility is required as a job function 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 practical experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Responsibilities

• Act as first line supervisor for group of financial professionals.
• Embrace a dynamic environment where challenges will require flexibility and new ideas
• Leads and manages a team and ensures that the daily supervisory tasks are completed in a timely and efficient manner.
• Develop supervision best practices and training for the team and for the field.
• Establishes goals and metrics to drive the overall goals of Osaic.
• Subject matter expert for all supervisory systems and engagement driver with ETS, product partners and vendors to remedy issues identified.
• Develops and maintains strong rapport with the field as well as internal partners.
• Assess risks identified and present risk mitigation recommendations.
• Conduct oversight of the day-to-day functions of the team and identify KPIs.
• Report to VP of Field Supervision status of supervisory controls, summary of test results and significant exceptions.
• Work with various engagement models to ensure the Supervision support is providing consistent, accurate and timely service.
• Support training and mentorship of junior level analysts as necessary

Basic Requirements

Preferred Requirements