Remote Branch Compliance Examiner

Advisor Group; La Vista (NE); On-site; USD 65,000 - 75,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time away

Volunteer days

Job summary

Osaic is seeking a Branch Office Examiner for the Branch Exam department. The role involves administering Branch Exams to Financial Advisors affiliated with Osaic’s Broker Dealers, inspecting branch activities for regulatory compliance and adherence to applicable regulations.

Expected travel up to 50% for onsite exams and 3+ years of Broker-Dealer experience are required. A Series 7 license is mandatory, with Series 24 to be obtained within 180 days of hire.

Qualifications

• Minimum 3 years Independent Broker-Dealer experience.
• FINRA Series 7 license is required; Series 24 must be obtained within 180 days of hire.
• Knowledge of the retail brokerage business and common investment products.
• Strong verbal and written communication skills.
• Basic knowledge of the Firm’s and Regulatory Policies.
• Basic IT skills for communication, organization and analysis.

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, Satellite Managers, Supervision and Compliance in a timely manner.
• Educate OSJ Managers, Financial Advisors and support staff on industry rules, regulations and firm policies during the exam.
• Identify and share best practices with OSJ Managers regarding supervisory systems during the exam.

Skills

Independent Broker-Dealer experience

FINRA Series 7

FINRA Series 24

Verbal and written communication

Retail brokerage knowledge

Detail-oriented and investigative

Education

Bachelor’s degree preferred

High school diploma or equivalent

Job description

Osaic is seeking a Branch Office Examiner for the Branch Exam department. The role involves administering Branch Exams to Financial Advisors affiliated with Osaic’s Broker Dealers, inspecting branch activities for regulatory compliance and adherence to applicable regulations.

Expected travel up to 50% for onsite exams and 3+ years of Broker-Dealer experience are required. A Series 7 license is mandatory, with Series 24 to be obtained within 180 days of hire.