Regional Supervision Manager
Company: TRC Talent Solutions
Location: Scottsdale
Posted on: February 2, 2026
|
|
|
Job Description:
TRC is seeking a Regional Supervision Manager to join one of our
wealth management clients of an exciting direct hire position!
Hybrid (4 Days In-Office) based out of Atlanta, GA Full-Time Role
Overview The Regional Supervision Manager (RSM) oversees the
supervision and review of brokerage, advisory, and directly held
transactions to ensure compliance with firm policies, regulatory
standards, and clients’ best interests. This role serves as a key
liaison between Financial Professionals, Field Supervisors,
Compliance, and Home Office teams, helping protect clients, the
firm, and supervisory partners. Key Responsibilities Review
brokerage, advisory, and direct transactions to ensure suitability,
best interest, and policy adherence Conduct account reviews,
transaction supervision, and queue management oversight for
assigned Financial Professionals Evaluate and approve Outside
Business Activities, account acceptance, and annual compliance
requirements Monitor supervisory reports and enforce internal
controls aligned with FINRA and SEC regulations Identify and
escalate risk-based findings; partner with Supervision and
Compliance on corrective actions Serve as the primary home office
contact for supervision-related inquiries Support onboarding,
education, and ongoing training of Financial Professionals and
support staff Collaborate cross-functionally with Supervision,
Compliance, and other departments on firm initiatives and
regulatory projects Required Qualifications Minimum 3 years of
experience conducting suitability or best interest transaction
reviews within financial services Active FINRA Series 7, 24, and
63/65 or 66 Strong knowledge of FINRA and SEC regulations Proven
ability to manage multiple priorities in a fast-paced,
deadline-driven environment Excellent analytical, organizational,
and problem-solving skills Preferred Qualifications FINRA Series 4
and/or 53 (or willingness to obtain) Bachelor’s degree preferred;
equivalent experience considered Compensation & Benefits
Competitive total compensation package including medical, dental,
vision, 401(k), paid time off, volunteer days, and more.
Keywords: TRC Talent Solutions, Oro Valley , Regional Supervision Manager, Accounting, Auditing , Scottsdale, Arizona
