Remote Branch Office Examiner – Financial Services

Osaic; Oakdale (MN); On-site; USD 65,000 - 75,000; Full time

Benefits offered by this job

Health insurance

401k

Paid time off

Volunteer days

Job summary

Osaic is hiring a Branch Office Examiner responsible for conducting compliance examinations for financial advisors. This role entails approximately 85-100 onsite exams annually, requiring independent travel up to 50% of the time.

The ideal candidate has a minimum of 3 years of independent broker-dealer experience, holds a FINRA Series 7 license, and possesses strong communication abilities. Additional perks include competitive compensation, health insurance, and a 401k plan.

Qualifications

• Minimum 3 years Independent Broker-Dealer experience.
• FINRA series 7 license is required; Series 24 within 180 days of hire.
• Strong knowledge of retail brokerage and investment products.
• Ability to work independently and detail-oriented.

Responsibilities

• Conduct approximately 85-100 onsite exams per year.
• Travel independently up to 50% of the time for exams.
• Educate branches on industry rules and firm policies.

Skills

Independent Broker-Dealer experience

Verbal and written communication skills

Detail-oriented

Investigative skills

Proficiency in information technology

Education

Bachelor's degree preferred or significant practical experience

Job description

Osaic is hiring a Branch Office Examiner responsible for conducting compliance examinations for financial advisors. This role entails approximately 85-100 onsite exams annually, requiring independent travel up to 50% of the time.

The ideal candidate has a minimum of 3 years of independent broker-dealer experience, holds a FINRA Series 7 license, and possesses strong communication abilities. Additional perks include competitive compensation, health insurance, and a 401k plan.