Regional Supervision Manager — Wealth Management

Job overview

The Regional Supervision Manager works in a hybrid arrangement in Scottsdale, AZ. Compensation is not specified. The role supports a leading wealth management organization through brokerage, advisory, and directly held transaction supervision. The manager reviews transactions and accounts for suitability, best-interest standards, regulatory compliance, and firm policy adherence. The role helps safeguard client interests, identify and escalate risk, support financial professionals, and coordinate corrective actions with Supervision and Compliance.

What you'll do

• Review brokerage, advisory, and directly held transactions
• conduct account reviews, transaction supervision, and queue oversight
• evaluate and approve Outside Business Activities, account acceptance, and annual compliance requirements
• monitor supervisory reports and internal controls aligned with FINRA and SEC regulations
• identify and escalate risk findings
• serve as home-office contact for supervision inquiries
• support onboarding, education, and training
• collaborate on firm initiatives and regulatory projects.

What we're looking for

Skills & competencies

scottsdale az

trc talent solutions

regional supervision manager

wealth management

brokerage supervision

advisory transactions

finra

sec compliance

series 7

series 24

series 63/65 or 66

risk review

hybrid

Work arrangement

• Weekend coverage required

Benefits & perks

• Medical, dental, and vision coverage
• 401(k)
• paid time off
• volunteer days
• and other benefits.

Why this role

Requires at least three years of suitability or best-interest transaction review experience and active FINRA Series 7, 24, and 63/65 or 66. Series 4 and/or 53 is preferred or may be obtained; a bachelor’s degree is preferred, with equivalent experience considered.

About the employer

TRC Talent Solutions is hiring for this role. Industry: Portfolio Management and Investment Advice. Sector: 52.