Branch Office Examiner

Advisor Group Inc.; Scottsdale (AZ); Hybrid; USD 65,000 - 75,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401(k) plan

Paid time away

Volunteer days

Job summary

Advisor Group Inc. is seeking a Branch Office Examiner responsible for administering branch exams to Financial Advisors. This hybrid role requires 4 days in the office and travel up to 50% of the time for onsite examinations.

The ideal candidate will have at least 3 years of independent Broker-Dealer experience and must possess the FINRA Series7 license, with the Series24 to be obtained within 180 days of hire. The position offers a competitive salary between $65,000 and $75,000 per year, along with various benefits.

Qualifications

• Minimum 3 years of independent Broker-Dealer experience.
• FINRA Series7 license required.
• FINRA Series24 license to be obtained within 180 days of hire.
• Knowledge of retail brokerage business and common investment products.
• Strong verbal and written communication skills.
• Basic proficiency in information technology.

Responsibilities

• Conduct approximately 85-100 onsite exams per year.
• Travel independently up to 50% of the time for onsite branch examinations.
• Prepare for each exam by generating and analyzing various reports.
• Review exam findings with Branch Managers.
• Send exam reports in a timely manner.
• Educate clients on industry rules and regulations.
• Identify best practices during the exam.

Skills

Independent Broker-Dealer experience

Strong verbal and written communication skills

Detail-oriented and investigative

Knowledge of retail brokerage business

Education

FINRA Series7 license

FINRA Series24 license

Job description

Summary

Osaic is currently seeking a Branch Office Examiner in our Branch Exam department. This role administers branch exams to Financial Advisors affiliated with Osaic’s Broker Dealers, ensuring compliance with applicable regulations. Qualified remote applicants will be considered; the role is available for remote hire but requires a hybrid schedule of at least 4 days in the office each week, with travel up to 50% of the time for onsite examinations.

Location(s)

• Atlanta: 2300 Windy Ridge Pkwy SE, Suite 750, 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

Compensation & Benefits

Salary ranges from $65,000 to $75,000 per year plus an annual bonus. Additional benefits include health, vision, dental insurance, a 401(k) plan, paid time away, volunteer days, and more. For full details see https://careers.osaic.com/Creative/Benefits.

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 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, 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 of independent Broker-Dealer experience.
• FINRA Series7 license required.
• FINRA Series24 license required to 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.
• Basic knowledge and understanding of the Firm’s and Regulatory Policies.
• Basic proficiency in information technology and related skills for electronic communication, activity organization, and information analysis.
• Detail-oriented, investigative, and able to work independently.

Preferred Requirements

• Branch Examiner experience.
• FINRA Series24, Series65 and/or Series66 preferred.