Branch Office Examiner – Hybrid Role with Travel

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

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.