Branch Office Examiner

Osaic; La Vista (NE); Hybrid; USD 65,000 - 75,000; Full time

Benefits offered by this job

Health, vision, dental insurance

401k

Paid time off

Volunteer days

Job summary

Osaic is seeking a Branch Office Examiner to provide guidance and oversight of Branch Exams for Financial Advisors. This position involves conducting onsite examinations and ensuring compliance with applicable regulations. The ideal candidate has a minimum of 3 years in the Independent Broker-Dealer sector, holds a FINRA Series 7 license, and possesses strong communication skills. Osaic offers a competitive salary between $65,000 and $75,000, plus comprehensive benefits including health and dental insurance, 401k, and generous paid time off.

Qualifications

• Minimum 3 years Independent Broker-Dealer experience.
• FINRA Series 7 license required; Series 24 must be obtained within 180 days of hire.
• Knowledge of retail brokerage business and common investment products required.

Responsibilities

• Conduct approximately 85-100 onsite exams per year.
• Travel independently up to 50% for onsite branch examinations.
• Prepare and analyze reports for each exam.
• Educate OSJ Managers and Financial Advisors on various rules during the exam.

Skills

Strong verbal and written communication skills

Detail-oriented

Investigative skills

Independent work capabilities

Education

Bachelor's degree preferred

Minimum high school diploma

Tools

Basic proficiency in information technology

Job description

REMOTE Compliance Risk Opportunity in Financial Services

Branch Office Examiner

Location(s): Open to Qualified Remote Applicants in the United States

Role Type: Full-time

Salary: $65,000 – $75,000 per year + annual bonus. Actual compensation offered will be determined individually, based on factors such as 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. For more details, visit our careers page: https://careers.osaic.com/Creative/Benefits.

Summary

Osaic is currently seeking a Branch Office Examiner in our Branch Exam department. This is an outstanding opportunity to provide influential guidance and oversight of Branch Exams to Financial Advisors affiliated with Osaic’s Broker Dealers. This position is responsible for administering Branch Exams to Financial Advisors affiliated with Osaic’s Broker Dealers. The branch exams involve independently inspecting and evaluating branch activities to assess and/or monitor compliance of applicable regulations and to ensure adherence to compliance of all applicable regulations.

Education Requirements

• Bachelor’s degree preferred. High school diploma or equivalent in combination with significant practical experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Responsibilities

• Conduct approximately 85-100 onsite exams per year.
• Travel independently up to 50% of the time for onsite branch examinations.
• Schedule and discuss exam expectations with the OSJ and Satellite branches.
• Prepare for each exam by generating and analyzing various reports.
• Review exam findings with OSJ and Satellite Branch Managers.
• Send exam reports to OSJ and Satellite Branch Managers, Supervision and Compliance departments in a timely manner.
• Educate OSJ Managers, Financial Advisors and support staff on various industry rules, regulations, and firm policies during the exam.
• Identify and share best practices with OSJ Managers regarding supervisory systems during the exam.

Basic Requirements

• Minimum 3 years Independent Broker-Dealer experience.
• FINRA Series 7 license required. Series 24 must be obtained within 180 days of hire.
• Knowledge of retail brokerage business, fee-based advisory business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds.
• Strong verbal and written communication skills required.
• Basic knowledge and understanding of the firm’s and regulatory policies.
• Basic proficiency in information technology and skills to communicate electronically, organize activities and analyze information.
• Must be detail-oriented, investigative and able to work independently.

Preferred Requirements

• Branch Examiner experience.
• FINRA Series 24, Series 65 and/or 66 preferred.

Equal Opportunity Employer

Osaic is an equal opportunity employer. We celebrate diversity in our workplace and hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities or the perception of a disability, genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Eligibility

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.

Unqualified Applications

Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Recruiting Agencies

Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.