Remote Senior Branch Compliance Examiner

Osaic; La Vista (NE); Remote; USD 80,000 - 85,000; Full time

Job summary

Osaic is seeking a Sr. Branch Office Examiner to oversee branch exams for Financial Advisors affiliated with Osaic Broker Dealers. The role involves inspecting activities to ensure regulatory compliance and adherence to applicable rules. Travel and remote examinations are expected as part of the program.

The incumbent will guide OSJ and Satellite branches, prepare exam reports, and educate staff on industry regulations while identifying best practices in supervisory processes.

Qualifications

• 5+ years of experience in Compliance or Branch Exams.
• FINRA Series 7 and Series 24 licenses required.
• Knowledge of retail brokerage, fee-based advisory business and common products.
• Strong verbal and written communication skills.
• Ability to interpret Sales Practice Manual, FINRA manuals and notices.

Responsibilities

• Conduct approximately 100–120 exams per year, onsite or remote.
• Travel up to 25% for onsite examinations.
• Schedule and discuss exam expectations with OSJ and Satellite branches.
• Prepare for each exam by generating and analyzing reports.
• Review exam findings with OSJ and Branch Managers.
• Send reports to OSJ, Branch Managers and Compliance departments.
• Educate OSJ Managers, Financial Advisors and staff on rules and policies during exams.
• Identify and share best practices with supervisory systems during exams.
• Perform for-cause exams as needed.
• Mentor junior team members.

Skills

Verbal communication

Written communication

Attention to detail

Independent work

Investigative skills

Education

Bachelor's degree preferred

High school diploma or equivalent

Tools

Windows

MS Office

Job description

Osaic is seeking a Sr. Branch Office Examiner to oversee branch exams for Financial Advisors affiliated with Osaic Broker Dealers. The role involves inspecting activities to ensure regulatory compliance and adherence to applicable rules. Travel and remote examinations are expected as part of the program.

The incumbent will guide OSJ and Satellite branches, prepare exam reports, and educate staff on industry regulations while identifying best practices in supervisory processes.