Regional Supervision Manager (Wealth Management)

Job Summary The Regional Supervision Manager (RSM) is responsible for reviewing Brokerage, Advisory, and Directly held transactions presented within the back‑office systems to ensure those transactions are in the client’s best interest, based on stated firm policies and procedures. The RSM also assists in reviewing Financial Professionals’ requests for approval of Outside Business Activities, Account Reviews/Acceptance, and the completion of annual firm requirements such as the Annual Compliance Meeting, Annual Compliance Questionnaire, and Firm Element requirements. The RSM coordinates efforts between other home office staff members to process business in accordance with the firm’s policies and procedures, protecting the client, the firm, and Field Supervisors. Education Requirements Bachelor’s degree preferred; a high school diploma or equivalent combined with significant practical experience will be considered in lieu of a degree. A minimum of a high school diploma or equivalent is required. Responsibilities Work with various engagement models to ensure supervision support is providing consistent, accurate, and timely service. Conduct transaction and account reviews for all direct reports. Ensure proper business and sales practices are followed by reviewing queue management reports. Monitor reports and enforce internal controls to maintain compliance with industry standards and the firm’s policies and procedures. Collaborate with the Regional Supervision Team. Maintain ongoing positive relationships, acting as a guide and resource to all OSJ Managers and support staff in collaboration with Supervision, Compliance, and other field‑facing partners, proactively communicating the firm’s policies and procedures. Support the education, development, and training of newly affiliated Financial Professionals, delegates, and staff regarding broker‑dealer policies and procedures. Act as the home office liaison and primary contact for Financial Professionals on supervision issues. Identify and assess risk‑based reviews for findings that are in violation of the department’s current guidelines and take appropriate corrective action in collaboration with others on the supervision team and Compliance. Work on delegated and collaborative projects with all departments and upper management, including tracking of projects such as the Outside Business Activity Questionnaire, Annual Compliance Meetings, Firm Element Continuing Education, and Annual Representative Renewals. Basic Requirements Minimum three years of related experience conducting suitability/best interest reviews of transactions or relevant industry experience understanding current products and procedures. FINRA Series 7, Series 24, and Series 63/65 or 66 required. Understanding of relevant FINRA and SEC regulations. Ability to effectively handle and prioritize multiple tasks in a fast‑paced team environment to meet defined deadlines. Ability to work in a time‑sensitive environment. Excellent analytical and problem‑solving skills. Preferred Requirements FINRA Series 4 and/or 53 (could be obtained at a later date). Equal Opportunity Statement Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status. #J-18808-Ljbffr Dexian DISYS