Remote Branch Compliance 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

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.