Regional Supervision Director

We are seeking an experienced Regional Supervision Director to join a growing financial services organization. This role is responsible for supporting regional supervision efforts, ensuring compliance with firm policies and industry regulations, and serving as a trusted resource for Financial Professionals, OSJ Branch Managers, and internal stakeholders. This is an excellent opportunity for a licensed supervisory professional who thrives in a collaborative environment and is passionate about fostering a strong culture of compliance and risk management. Locations: Atlanta, GA St. Petersburg, FL Oakdale, MN Scottsdale, AZ This position follows a hybrid work schedule with a minimum of four days per week in the office. Remote candidates are not being considered at this time. Key Responsibilities Partner with the Regional Vice President of Supervision to provide supervisory oversight and support. Build and maintain strong relationships with Financial Professionals, OSJ Branch Managers, and support teams. Conduct Supervisory Office Visits and follow up on branch examination findings. Monitor and enforce internal controls to ensure compliance with firm policies and industry regulations. Assist with the implementation and administration of supervisory policies and procedures. Identify, investigate, and address potential compliance concerns and risk trends. Support the onboarding and development of OSJ Branch Managers and supervisory staff. Assist in developing and enforcing Heightened Supervision and Financial Action Plans. Review Outside Business Activities, Branch Office Deficiencies, Annual Compliance Requirements, and surveillance items. Collaborate with Compliance, Legal, Advisor Engagement, and other business partners on key initiatives and projects. Maintain accurate records and documentation in accordance with departmental procedures. Serve as a key home office contact during Regional Vice President travel. Required Qualifications 5+ years of financial services industry experience. 2+ years of supervisory, compliance, or related experience. FINRA Series 7, 24, and 66 (or 63/65) licenses required. Strong knowledge of FINRA and SEC regulations, including Rule 3110, Regulation Best Interest (Reg BI), and DOL PTE requirements. Deep understanding of securities products, including mutual funds, variable annuities, alternative investments, and individual securities. Strong technology proficiency, including Microsoft Office and compliance-related systems. Ability to manage multiple priorities and meet deadlines in a fast-paced environment. Ability to travel approximately 25%. Preferred Qualifications FINRA Series 4 and 53 licenses. Resident State Life, Health & Sickness, and Variable Annuity insurance licenses. Bachelor's degree preferred; equivalent industry experience will be considered. Base salary: $80,000–$100,000 annually plus bonus Eligible for annual bonus Comprehensive benefits package including medical, dental, vision, 401(k), paid time off, volunteer days, and more If you are a compliance-focused financial services professional looking to make an impact through effective supervision, risk management, and advisor support, we encourage you to apply. #J-18808-Ljbffr Dexian