Regional Director, Supervision

This is a fully remote position, open to applicants in Uruguay.

📋 Description

• Act as a reliable resource for Financial Professionals regarding business strategies, industry developments, branch office expansion, and firm resources.

• Schedule regular visits to the offices of Financial Professionals to strengthen collaborative relationships with the firm.

• Identify Financial Professionals with potential for growth and collaborate with internal teams to create and implement successful strategies.

• Work alongside Financial Professionals to develop and communicate new policies, procedures, and services.

• Oversee securities activities by evaluating sales performance, correspondence, regulatory documentation, exception reports, and other relevant supervisory matters.

• Act as an escalation point for OSJ Supervisors, their designees, Financial Professionals, and internal partners.

• Maintain knowledge of company revenue and profitability objectives, firm-wide goals, industry issues, internal programs, departmental procedures, regulatory obligations, and firm policies.

• Utilize data, reporting tools, and responsible technology adoption to recognize needs, enhance processes, and provide effective solutions.

• Collaborate with team members across the firm on strategic projects, initiatives, and service enhancements.

• Engage both internally and externally to support shared objectives and ensure timely communication regarding priorities and updates.

⛳️ Requirements

• A minimum of five years of relevant experience, education, and/or training in financial services, relationship management, compliance, or a related area.

• Possession of FINRA Series 7 and 24 licenses is mandatory.

• FINRA Series 63 or 65, and 51 or 53 licenses are preferred but not essential.

• Strong knowledge of supervisory review processes, regulatory documentation, licensing requirements, correspondence evaluations, exception reporting, and escalation procedures.

• Proficiency in Microsoft Office and Adobe Acrobat is required.

• Experience with Tableau or similar reporting tools is preferred.

• Capability to adopt technology, effectively utilize data and reporting tools, and responsibly incorporate AI or automation.

• Willingness to travel approximately 8-10 weeks per year for supervisory office visits and related business requirements.

🏝️ Benefits

• Comprehensive benefits package including medical, vision, dental, life, and long-term disability insurance.

• Vacation and sick leave.

• 401K retirement plan with a company matching program.

• Eleven paid holidays.

• Support for work/life balance.