TRC is seeking a Regional Supervision Manager to join one of our wealth management clients of an exciting full-time 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
Preferred Qualifications
- 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.
