Remote Senior Branch Compliance Examiner

Osaic; La Vista (NE); À distance; USD 80 000 - 85 000; Plein temps

Avantages offerts par ce poste

Health insurance

Vision insurance

Dental insurance

401k

Paid time away

Volunteer days

Résumé du poste

Osaic is currently seeking a Sr. Branch Office Examiner in our Branch Exam department. This is an outstanding opportunity to provide influential guidance and oversight of Branch Exams to Financial Advisors affiliated with Osaic Broker Dealers.

Our employees are the "how" and the "why" of Osaic's success. This position is responsible for administering Branch Exams to Financial Advisors affiliated with Osaic Broker Dealers.

Qualifications

• Bachelor's degree preferred; high school diploma with significant experience may substitute.
• Minimum of high school diploma or equivalent is required.
• 5+ years experience in Compliance or Branch Exams.

Responsabilités

• Conduct approximately 100-120 exams per year onsite or remotely.
• Travel independently up to 25% of the time for onsite branch examinations.
• Schedule and discuss exam expectations with the OSJ and Satellite branches.
• Prepare for each exam by generating and analyzing various reports.
• Review exam findings with OSJ and Satellite Branch Managers.
• Send exam reports to OSJ and Satellite Branch Managers, Supervision and Compliance departments in a timely manner.
• Educate OSJ Managers, Financial Advisors and support staff on industry rules, regulations, and firm policies during the exam.
• Identify and share best practices with OSJ Managers regarding supervisory systems during the exam.
• Perform for cause exams as needed.
• Mentor junior team members.

Connaissances

Strong verbal and written comms

Detail-oriented

Independent worker

Formation

Bachelor's degree preferred

High school diploma or equivalent required

Outils

Windows

MS Office (Word, Excel, PowerPoint, Outlook)

Description du poste

Osaic is currently seeking a Sr. Branch Office Examiner in our Branch Exam department. This is an outstanding opportunity to provide influential guidance and oversight of Branch Exams to Financial Advisors affiliated with Osaic Broker Dealers.

Our employees are the "how" and the "why" of Osaic's success. This position is responsible for administering Branch Exams to Financial Advisors affiliated with Osaic Broker Dealers.