Regional Director, Supervision

• Serve as a trusted resource for Financial Professionals on business strategy, industry changes, branch office growth, and firm resources
• Plan regular visits to Financial Professional offices and strengthen partnerships with the firm
• Identify Financial Professionals with growth opportunities and partner with internal teams to develop and implement success strategies
• Collaborate with Financial Professionals to shape and communicate new policies, procedures, and services
• Supervise securities activities by reviewing sales activity, correspondence, regulatory documentation, exception reporting, and related supervisory items
• Serve as an escalation contact for OSJ Supervisors, designees, Financial Professionals, and internal partners
• Maintain understanding of company revenue and profitability targets, firm-level goals, industry topics, internal programs, departmental procedures, regulatory requirements, and firm policy
• Leverage data, reporting tools, and responsible technology adoption to identify needs, improve processes, and deliver practical solutions
• Partner with team members across the firm on strategic projects, initiatives, and service improvements
• Interface internally and externally to support common goals and ensure timely communication of priorities and status updates

• Five or more years of related experience, education, and/or training in financial services, relationship management, compliance, or a related field
• FINRA Series 7 and 24 licenses are required
• FINRA Series 63 or 65, and 51 or 53, licenses are preferred but not required
• Strong understanding of supervisory review, regulatory documentation, licensing requirements, correspondence review, exception reporting, and escalation practices
• Proficiency with Microsoft Office and Adobe Acrobat required
• Experience with Tableau or similar reporting tools preferred
• Ability to adopt technology, use data and reporting tools effectively, and incorporate AI or automation responsibly
• Ability to travel approximately 8-10 weeks per year for supervisory office visits and related business needs

• Premium benefit package including medical, vision, dental, life and long-term disability insurance
• Vacation/sick time
• 401K retirement plan with company matching program
• Eleven paid holidays
• Work/life balance support