Talent.com
Director, Electronic Communications Supervision
Director, Electronic Communications SupervisionOsaic • Omaha, NE, US
serp_jobs.error_messages.no_longer_accepting
Director, Electronic Communications Supervision

Director, Electronic Communications Supervision

Osaic • Omaha, NE, US
job_description.job_card.30_days_ago
serp_jobs.job_preview.job_type
  • serp_jobs.job_card.full_time
job_description.job_card.job_description

Director, Electronic Communications Supervision

Location(s) :

Atlanta : 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339

La Vista : 12325 Port Grace Blvd, La Vista, NE 68128

Oakdale : 7755 3rd St. N, Oakdale, MN 55128

Scottsdale : 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

St. Petersburg : 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702

Osaic is not considering remote candidates at this time. Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants should be located at one of our hubs listed above and must be willing to work this schedule.

Role Type : Full-time

Salary : $125,000 - $135,000 per year + annual bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page.

Summary :

We are looking for a driven and motivated leader to join our Supervision organization. The Director, Electronic Communications ("E-Comm") Supervision will be responsible for building and leading a centralized team of SMEs to carry out all aspects of electronic communications supervision and will support the Head of Supervision in creating a culture within the team that exemplifies Osaic's core values. The ideal candidate will exhibit leader behaviors to grow team members and foster collaborative relationships both internally and externally, while also leaning into and leading change as Osaic continues to grow and evolve.

Education Requirements :

  • Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree. A minimum high school diploma or equivalent is required.

Responsibilities :

  • Manage and guide the e-comm review team, ensuring timely identification, escalation, and resolution of risks.
  • Collaborate with internal and external stakeholders to handle escalated issues and ensure appropriate follow-up in line with regulations.
  • Drive improvements in surveillance training by contributing subject matter expertise to compliance training efforts.
  • Design and manage performance metrics and reporting tools (e.g., MIS, KPIs, KRIs) to measure program effectiveness and surface critical findings.
  • Lead the implementation and optimization of surveillance systems, ensuring alignment with regulatory requirements and industry best practices.
  • Partner with Data Analytics teams to develop and refine models that enhance surveillance capabilities.
  • Maintain up-to-date knowledge of evolving regulatory expectations and surveillance trends to keep the program forward-looking and robust.

    • Basic Requirements :

  • 10+ years of experience in the financial services industry with majority of the time spent on Supervision or Compliance in e-communications positions
  • Knowledge of financial industry compliance and regulations
  • General knowledge of public and privately traded securities and managed account platforms
  • Regulatory knowledge of Investment Adviser's Act of 1940 and FINRA regulations
  • FINRA Series 7, 24, 65 or 66 licenses (Series 4 and 53 preferred)
  • Working knowledge of industry standard e-communications archival and supervision tools (i.e. Global Relay, SMARSH, Arctera).

    • Preferred Requirements :

  • Must be able to work in a team environment and support other colleagues as needed
  • Must be able to prioritize and handle multiple tasks and deadlines simultaneously
  • Team player who possesses great initiative, flexibility, excellent judgment and knows how to provide indispensable service
  • Business travel as needed
    • serp_jobs.job_alerts.create_a_job

    Director Communication • Omaha, NE, US

    Job_description.internal_linking.related_jobs
    Sr Principal Communication / Publication Strategy - Single Sponsor - CMPP Certified

    Sr Principal Communication / Publication Strategy - Single Sponsor - CMPP Certified

    Syneos Health / inVentiv Health Commercial LLC • Omaha, NE, United States
    serp_jobs.job_card.full_time
    Sr Principal Communication / Publication Strategy - Single Sponsor - CMPP Certified.Syneos Health is a leading fully integrated biopharmaceutical solutions organization built to accelerate customer ...serp_jobs.internal_linking.show_more
    serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
    Director of Automation Mission Critical

    Director of Automation Mission Critical

    Interstates • Omaha, Nebraska, US
    serp_jobs.job_card.full_time
    Lead the Future of Data Center Automation with Interstates.Below, you will find a complete breakdown of everything required of potential candidates, as well as how to apply Good luck.Interstates is...serp_jobs.internal_linking.show_more
    serp_jobs.last_updated.last_updated_variable_hours • serp_jobs.job_card.promoted
    Director of Aviation

    Director of Aviation

    IMEG Corp • Omaha, NE, United States
    serp_jobs.job_card.full_time
    Are you Ready to Engineer Your Career?.We work hard and are passionate about what we do but also love to have fun along the way. We celebrate the ability to be a firm of over 2900 employees in the U...serp_jobs.internal_linking.show_more
    serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
    Director of Business Development

    Director of Business Development

    Confidential • Bellevue, NE, United States
    serp_jobs.job_card.full_time
    Director of Business Development.Well-established economic development corporation.The Company is in search of a Director of Business Development to join their growing operations team.The successfu...serp_jobs.internal_linking.show_more
    serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
    Grassroots Engagement Director

    Grassroots Engagement Director

    Citizens for Free Enterprise • Omaha, NE, US
    serp_jobs.job_card.full_time
    Grassroots Engagement Director.Location : Omaha, NE (In-Office).Compensation : $45,000–$56,000 annual DOE (with mileage reimbursement). Citizens for Free Enterprise is focused on educating voters and ...serp_jobs.internal_linking.show_more
    serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
    BES Business Group Technology Director

    BES Business Group Technology Director

    HDR • Omaha, NE, US
    serp_jobs.job_card.full_time +1
    Building Engineering Services Business Group Technology Director.At HDR, our employee-owners are fully engaged in creating a welcoming environment where each of us is valued and respected, a place ...serp_jobs.internal_linking.show_more
    serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
    Remote- Lifecycle Marketing Manager

    Remote- Lifecycle Marketing Manager

    Green Dot Corporation • Omaha, NE, US
    serp_jobs.filters.remote
    serp_jobs.job_card.permanent
    We're looking for talented professionals, anywhere in the United States, to join us in bringing smart money management and payment solutions to everyone's fingertips. At Green Dot, we are evolving t...serp_jobs.internal_linking.show_more
    serp_jobs.last_updated.last_updated_less • serp_jobs.job_card.promoted • serp_jobs.job_card.new
    Director, Client Program Management

    Director, Client Program Management

    Impiricus • Omaha, NE, US
    serp_jobs.job_card.full_time
    Director, Client Program Management.Impiricus is one of the fastest-growing companies in North America, enabling pharmaceutical brands to transform how they engage healthcare providers (HCPs).Our n...serp_jobs.internal_linking.show_more
    serp_jobs.last_updated.last_updated_variable_hours • serp_jobs.job_card.promoted • serp_jobs.job_card.new
    Director Facility Management

    Director Facility Management

    Omaha Staffing • Omaha, NE, US
    serp_jobs.job_card.full_time
    This position is responsible for oversight of facility operations of large multi-site hospital and / or health center locations. Responsibilities may include additional departmental oversight includin...serp_jobs.internal_linking.show_more
    serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
    Program Manager (Vendor Management) -REMOTE

    Program Manager (Vendor Management) -REMOTE

    Molina Healthcare • Offutt Afb, NE, US
    serp_jobs.filters.remote
    serp_jobs.job_card.full_time
    Provides support to Molina functional areas through program management, including policy, workflow and process documentation, management of program controls, vendor practices, budgets, governance f...serp_jobs.internal_linking.show_more
    serp_jobs.last_updated.last_updated_variable_hours • serp_jobs.job_card.promoted • serp_jobs.job_card.new
    Senior Director - Business Services and Stakeholder Experience

    Senior Director - Business Services and Stakeholder Experience

    Creighton University • Omaha, NE, United States
    serp_jobs.job_card.full_time
    The Senior Director - Business Services and Stakeholder Experience is a leadership position tasked with overseeing the strategic development, operations, and continuous improvement of business serv...serp_jobs.internal_linking.show_more
    serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
    Director of Learning, Strategic & Corporate - Omaha, NE

    Director of Learning, Strategic & Corporate - Omaha, NE

    Mosaic • Omaha, NE, United States
    serp_jobs.job_card.full_time
    Director of Learning, Strategic & Corporate.Omaha, Nebraska, United States.Director of Learning, Strategic & Corporate.Join Mosaic in relentlessly pursuing opportunities that empower people!.Are yo...serp_jobs.internal_linking.show_more
    serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
    Camp Director

    Camp Director

    City of Omaha • Omaha, NE, United States
    serp_jobs.job_card.part_time +2
    This work involves supervising, planning, and leading a variety of recreational programs and activities such as but not limited to nature and ecology classes, archery, arts and crafts, and orientee...serp_jobs.internal_linking.show_more
    serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
    Director of Direct Express Business Controls

    Director of Direct Express Business Controls

    Fiserv • Omaha, NE, US
    serp_jobs.job_card.full_time
    Director Of Direct Express Business Controls.Calling all innovators - find your future at Fiserv.We're Fiserv, a global leader in Fintech and payments, and we move money and information in a way th...serp_jobs.internal_linking.show_more
    serp_jobs.last_updated.last_updated_variable_hours • serp_jobs.job_card.promoted • serp_jobs.job_card.new
    Director, Client Experience

    Director, Client Experience

    Mediavine • Omaha, NE, US
    serp_jobs.job_card.full_time
    As the Director of Customer Success at Mediavine, you'll be responsible for leading our Client Success strategy and team. Creating a seamless and consistent client experience across all managed acco...serp_jobs.internal_linking.show_more
    serp_jobs.last_updated.last_updated_less • serp_jobs.job_card.promoted • serp_jobs.job_card.new
    Director of Engineering - Structural Solutions

    Director of Engineering - Structural Solutions

    Right Hire Consulting LLC • Omaha, Nebraska, United States
    serp_jobs.job_card.full_time
    serp_jobs.filters_job_card.quick_apply
    Director of Engineering Lead Innovation in Structural Solutions.This role combines hands-on technical expertise with strategic leadership to shape the future of structural solutions.Lead, mentor, a...serp_jobs.internal_linking.show_more
    serp_jobs.last_updated.last_updated_30
    Director Business Development (PacNW Region)

    Director Business Development (PacNW Region)

    Corporate Travel Management • Omaha, NE, United States
    serp_jobs.job_card.full_time
    Director Business Development (PacNW Region).Some Sales Directors' simply sell the product.Our success in the market is the ability to tailor our offering to the client to match their existing stra...serp_jobs.internal_linking.show_more
    serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
    Publisher Success Manager - Remote (North America)

    Publisher Success Manager - Remote (North America)

    Eyeo • Omaha, NE, US
    serp_jobs.filters.remote
    serp_jobs.job_card.full_time
    Publisher Success Manager - Remote (North America).Blockthrough helps the world's leading media brands restore a healthier relationship with the 225 million users who filter their online ad experie...serp_jobs.internal_linking.show_more
    serp_jobs.last_updated.last_updated_variable_hours • serp_jobs.job_card.promoted • serp_jobs.job_card.new