Remote Senior Branch Compliance Examiner

Advisor Group Inc.; Atlanta (GA); Remote; USD 80,000 - 85,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time away

Volunteer days

Job summary

Osaic is seeking a Sr. Branch Office Examiner in our Branch Exam department. This role provides influential guidance and oversight of Branch Exams to Financial Advisors affiliated with Osaic Broker Dealers. The position involves administering exams that assess regulatory compliance and adherence to firm policies.

The role requires conducting exams, up to 25% travel, and mentoring junior staff, with a focus on educating OSJ managers and advisors on industry rules and best practices.

Qualifications

• 5+ years experience in Compliance or Branch Exams.
• FINRA Series 7 and Series 24 licenses required.
• Knowledge of retail brokerage and investment products.

Responsibilities

• 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 satellite branches.
• Prepare for exams by generating and analyzing reports.
• Review findings with OSJ and branch managers.
• Send exam reports to relevant managers and compliance teams timely.
• Educate staff on rules, regulations and firm policies during exams.
• Share best practices with supervisory systems during exams.
• Perform for-cause exams as needed.
• Mentor junior team members.

Skills

Verbal communications

Written communications

Independently investigate

Education

Bachelor's degree preferred

High school diploma required

Tools

Windows

MS Office

Job description

Osaic is seeking a Sr. Branch Office Examiner in our Branch Exam department. This role provides influential guidance and oversight of Branch Exams to Financial Advisors affiliated with Osaic Broker Dealers. The position involves administering exams that assess regulatory compliance and adherence to firm policies.

The role requires conducting exams, up to 25% travel, and mentoring junior staff, with a focus on educating OSJ managers and advisors on industry rules and best practices.