Director, Electronic Communications SupervisionOsaic • Omaha, NE, US
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_descriptionManage 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. 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). 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
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 :
Basic Requirements :
Preferred Requirements :
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.Syneos Health is a leading fully integrated biopharmaceutical solutions organization built to accelerate customer ...serp_jobs.internal_linking.show_more
Serious Medicine is what we do.Being extraordinary is who we are.Every colleague plays a key role in upholding this promise to our patients and their families.
First Shift (United States of America)...serp_jobs.internal_linking.show_more
Regional Business Line Leader (RBLL) Program Management (PgM) U.Reporting to the Regional Chief Executive and PgM Global Business Line (GBL) Chief Executive this role will serve as the leader of th...serp_jobs.internal_linking.show_more
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
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
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
At FNBO our employees are the heart of our storyand were committed to their success! Please see below the details of this career opportunity and how it fits into our organizations success.Lead FNBO...serp_jobs.internal_linking.show_more
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 At FNBO our employees are the heart of our storyand were committed to their success! Please see below the details of this career opportunity and how it fits into our organizations success.Lead FNBO...serp_jobs.internal_linking.show_more 
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
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)
Our team members are at the heart of everything we do.At Cencora, we are united in our responsibility to create healthier futures, and every person here is essential to us being able to deliver on ...serp_jobs.internal_linking.show_more
Calling all innovators find your future at Fiserv.Were Fiserv a global leader in Fintech and payments and we move money and information in a way that moves the world.
We connect financial instituti...serp_jobs.internal_linking.show_more
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
About United Way of the Midlands : .Since 1923 United Way of the Midlands (UWM) has served the Omaha-Council Bluffs metro by bringing together the business government and not-for-profit sectors and r...serp_jobs.internal_linking.show_more
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 Calling all innovators - find your future at Fiserv.Were Fiserv a global leader in Fintech and payments and we move money and information in a way that moves the world.
We connect financial institut...serp_jobs.internal_linking.show_more 
Lead the Future of Data Center Automation with Interstates.Interstates is expanding its automation services into the data center world — and we're looking for a dynamic, growth-focused leader to ta...serp_jobs.internal_linking.show_more
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
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
Director Oncology Ambulatory Clinics, Infusion and Treatment Center
The Nebraska Medical Center • Omaha, Nebraska, USA
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
SVP of Program Management (PgM), US West Region
AECOM • Omaha, Nebraska, USA
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
Director of Aviation
IMEG Corp • Omaha, NE, United States
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Grassroots Engagement Director
Citizens for Free Enterprise • Omaha, NE, US
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
BES Business Group Technology Director
HDR • Omaha, NE, US
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Director of Technology, ODS (Omaha)
First National Bank of Omaha • Omaha, Nebraska, USA
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
Director, Client Program Management
Impiricus • Omaha, NE, US
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_1_day • serp_jobs.job_card.promoted
Director of Technology, Operational Data Store (Omaha)
First National Bank of Omaha • Omaha, Nebraska, USA
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
Senior Director - Business Services and Stakeholder Experience
Creighton University • Omaha, NE, United States
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Director Facility Management
Nebraska Staffing • Omaha, NE, US
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Director, Account Management
AmerisourceBergen Corporation (Cencora) • Omaha, NE, United States
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_less • serp_jobs.job_card.promoted • serp_jobs.job_card.new
Director, Account Management
Fiserv • Omaha, Nebraska, USA
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
Camp Director
City of Omaha • Omaha, NE, United States
serp_jobs.job_card.part_time +2
serp_jobs.last_updated.last_updated_30 • serp_jobs.job_card.promoted
Director, Marketing Services (Creative Lead)
United Way of the Midlands • Omaha, Nebraska, USA
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted
Director, Client Experience
Mediavine • Omaha, NE, US
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_variable_hours • serp_jobs.job_card.promoted • serp_jobs.job_card.new
Director of Direct Express Business Controls
Fiserv • Omaha, Nebraska, USA
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_variable_hours • serp_jobs.job_card.promoted • serp_jobs.job_card.new
Director of Automation Mission Critical
Interstates • Omaha, NE, United States
serp_jobs.job_card.full_time
serp_jobs.last_updated.last_updated_variable_days • serp_jobs.job_card.promoted