Remote Branch Office Examiner – Financial Services

Osaic; Saint Petersburg (FL); Sur place; USD 65 000 - 75 000; Plein temps

Avantages offerts par ce poste

Health insurance

401k

Paid time off

Volunteer days

Résumé du poste

Osaic is seeking a Branch Office Examiner to provide oversight of branch exams for Financial Advisors. This full-time position involves conducting onsite exams, evaluating compliance, and educating advisors on industry regulations.

The ideal candidate will have a minimum of 3 years of experience in an Independent Broker-Dealer setting and possess a FINRA series 7 license. Osaic offers competitive compensation, health benefits, and a dynamic work environment.

Join us in ensuring compliance and promoting best practices in the financial services industry.

Qualifications

• Minimum 3 years Independent Broker-Dealer experience.
• FINRA series 7 license required, Series 24 required within 180 days of hire.
• Knowledge of the retail brokerage business.

Responsabilités

• Conduct approximately 85-100 onsite exams per year.
• Travel independently up to 50% of the time.
• Schedule and discuss exam expectations.

Connaissances

Verbal communication skills

Written communication skills

Detail-oriented

Investigative skills

Formation

Bachelor's degree or high school diploma with experience

Outils

Basic proficiency in information technology

Description du poste

Osaic is seeking a Branch Office Examiner to provide oversight of branch exams for Financial Advisors. This full-time position involves conducting onsite exams, evaluating compliance, and educating advisors on industry regulations.

The ideal candidate will have a minimum of 3 years of experience in an Independent Broker-Dealer setting and possess a FINRA series 7 license. Osaic offers competitive compensation, health benefits, and a dynamic work environment.

Join us in ensuring compliance and promoting best practices in the financial services industry.