Remote Branch Office Examiner - Financial Compliance

Osaic; Scottsdale (AZ); Presencial; USD 65.000 - 75.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Health insurance

Vision insurance

Dental insurance

401k

Paid time away

Volunteer days

Descripción de la vacante

Osaic is seeking a Branch Office Examiner to provide oversight of branch exams for Financial Advisors affiliated with Osaic’s Broker Dealers. This full-time position offers a remote work option for qualified applicants in the United States.

The role requires a minimum of 3 years Independent Broker-Dealer experience, FINRA Series 7 (and Series 24 within 180 days). Travel up to 50% and strong communication skills are essential. Competitive compensation includes benefits and annual bonus potential.

Formación

• Minimum 3 years Independent Broker-Dealer experience.
• FINRA Series 7 required; Series 24 to be obtained within 180 days of hire.
• Knowledge of retail brokerage, fee-based advisory business, and common investment products.
• Strong verbal and written communications skills.
• Detail-oriented and able to work independently.

Responsabilidades

• 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 industry rules, regulations, and firm policies during the exam.
• Identify and share best practices with OSJ Managers regarding supervisory systems during the exam.

Conocimientos

Independent Broker-Dealer experience

FINRA Series 7

Strong communication skills

Detail-oriented

Educación

Bachelor’s degree preferred

High school diploma or equivalent required

Descripción del empleo

Osaic is seeking a Branch Office Examiner to provide oversight of branch exams for Financial Advisors affiliated with Osaic’s Broker Dealers. This full-time position offers a remote work option for qualified applicants in the United States.

The role requires a minimum of 3 years Independent Broker-Dealer experience, FINRA Series 7 (and Series 24 within 180 days). Travel up to 50% and strong communication skills are essential. Competitive compensation includes benefits and annual bonus potential.