Regional Supervision Director

Job Description

Job Description

TRC Talent Solutions is seeking a Regional Supervision Director for a direct-hire opportunity with a leading wealth management organization based in Atlanta, GA . This hybrid position requires four days per week in the office and offers the opportunity to play a critical role in maintaining regulatory compliance, operational integrity, and supervisory oversight across a network of financial professionals and branch offices.

The Regional Supervision Director serves as a delegated registered principal, partnering closely with the Supervision Regional Vice President (SRVP) to ensure business activities are conducted in accordance with firm policies, industry regulations, and supervisory standards. This role requires a strong understanding of FINRA and SEC regulations, exceptional relationship management skills, and the ability to balance risk management with business objectives.

KEY RESPONSIBILITIES

• Provide supervisory support to the Supervision Regional Vice President by assuming delegated responsibilities and assisting with day-to-day oversight activities.

• Develop and maintain strong working relationships with Financial Professionals, OSJ Branch Managers, and branch support staff.

• Conduct Supervisory Office Visits with assigned OSJ Managers to promote effective supervisory practices and address compliance concerns proactively.

• Follow up on branch examination findings and ensure corrective actions are implemented in a timely manner.

• Monitor, report on, and enforce internal controls to ensure compliance with regulatory requirements and firm policies.

• Assist in the implementation of supervisory procedures supporting both new and existing business initiatives.

• Support the development, implementation, and monitoring of Heightened Supervision and Financial Action Plans.

• Maintain records, documentation, and files in accordance with departmental policies and procedures.

• Partner with Advisor Engagement, Legal, Compliance, and other stakeholders on regulatory and business initiatives.

• Track and manage delegated projects to ensure timely completion and successful execution.

• Review and approve Outside Business Activities (OBAs) in accordance with firm policies and regulatory requirements.

• Oversee the resolution of branch office deficiencies and monitor remediation efforts.

• Support completion of annual compliance requirements and conduct surveillance reviews as needed.

• Travel as required to support branch oversight, office visits, and supervisory responsibilities.

REQUIRED QUALIFICATIONS

• Experience: Minimum of 5 years of experience conducting suitability reviews, best interest reviews, supervisory oversight, or compliance monitoring within the financial services industry.

• Licensing: Active FINRA Series 7, Series 24, and Series 63/65 or Series 66 licenses.

• Regulatory Knowledge: Strong understanding of FINRA, SEC, and applicable industry regulations governing broker-dealer operations.

• Supervisory Experience: Demonstrated ability to oversee regulatory compliance and supervisory functions in a financial services environment.

• Analytical Skills: Strong critical thinking and problem-solving abilities with the capacity to assess risk and make sound decisions.

• Organization: Ability to manage multiple priorities and deadlines in a fast-paced, highly regulated environment.

• Communication Skills: Excellent written and verbal communication skills with the ability to influence and collaborate across all levels of the organization.

• Relationship Management: Proven ability to build credibility and maintain strong relationships with financial professionals, branch managers, and internal stakeholders.

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 clients' businesses as their staffing partner while connecting talented professionals with opportunities to grow their careers.