Remote Branch Office Examiner – Financial Services

Osaic; Scottsdale (AZ); 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 seeking a Branch Office Examiner to conduct branch exams, providing guidance and compliance monitoring for Financial Advisors. The role requires independent travel, analytical skills, and strong communication abilities.

The ideal candidate will have a minimum of three years of Independent Broker-Dealer experience and must possess a FINRA Series 7 license. Additional qualifications include being detail-oriented and proficient in technology.

Comprehensive benefits offered including health insurance and retirement plans.

Qualifications

• Minimum 3 years Independent Broker-Dealer experience.
• FINRA series 7 license is required.
• Must have strong verbal and written communications skills.
• Basic proficiency in information technology.

Responsibilities

• Conduct approximately 85-100 onsite exams per year.
• Travel independently up to 50% of the time for onsite branch examinations.
• Prepare for each exam by generating and analyzing various reports.
• Review exam findings with OSJ and Satellite Branch Managers.

Skills

Analytical skills

Communication skills

Detail-oriented

Investigative skills

Education

Bachelor's degree preferred

Job description

Osaic is seeking a Branch Office Examiner to conduct branch exams, providing guidance and compliance monitoring for Financial Advisors. The role requires independent travel, analytical skills, and strong communication abilities.

The ideal candidate will have a minimum of three years of Independent Broker-Dealer experience and must possess a FINRA Series 7 license. Additional qualifications include being detail-oriented and proficient in technology.

Comprehensive benefits offered including health insurance and retirement plans.