Remote Senior Branch Compliance Auditor

Osaic; Atlanta (GA); Remote; USD 80.000 - 85.000; Vollzeit

Benefits dieser Stelle

Health insurance

Vision insurance

Dental insurance

401k

Paid time away

Volunteer days

Zusammenfassung

Osaic is seeking a Sr. Branch Office Examiner to oversee branch exams for Financial Advisors within Osaic Broker Dealers. You will inspect activities to ensure compliance with applicable regulations and firm policies, guiding effectiveness and consistency of examinations.

Ideal candidates have 5+ years in Compliance or Branch Exams, with FINRA Series 7 and Series 24, and strong MS Office skills. The role may involve up to 25% travel and supports both on-site and remote examinations.

Qualifikationen

• Bachelor's degree preferred or high school diploma with significant experience considered.
• Minimum of 5+ years in Compliance or Branch Exams.
• FINRA Series 7 and Series 24 licenses required.
• Knowledge of FINRA rules, Sales Practice Manual, and related publications.
• Proficient with Windows and MS Office (Word, Excel, PowerPoint, Outlook).

Aufgaben

• Conduct approximately 100–120 exams per year, onsite or remote.
• Travel up to 25% for onsite branch examinations.
• Schedule and discuss exam expectations with OSJ and satellites.
• Prepare for exams by generating/analyzing reports.
• Review findings with OSJ and branch managers.
• Educate staff on industry rules and firm policies.
• Mentor junior team members.

Kenntnisse

Compliance

Branch Exams

FINRA Series 7

FINRA Series 24

Financial services knowledge

Communication skills

MS Office

Ausbildung

Bachelor's degree preferred

High school diploma or equivalent required

Tools

Windows OS

MS Office applications

Jobbeschreibung

Osaic is seeking a Sr. Branch Office Examiner to oversee branch exams for Financial Advisors within Osaic Broker Dealers. You will inspect activities to ensure compliance with applicable regulations and firm policies, guiding effectiveness and consistency of examinations.

Ideal candidates have 5+ years in Compliance or Branch Exams, with FINRA Series 7 and Series 24, and strong MS Office skills. The role may involve up to 25% travel and supports both on-site and remote examinations.