Remote Senior Branch Compliance Examiner

Osaic; Oakdale (MN); 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 examiner administers exams to assess compliance with applicable regulations and firm policies across the organization.

This is a remote-friendly, full-time opportunity open to qualified applicants in the United States, with travel up to 25% and opportunities to mentor junior staff.

Qualifications

• 5+ years of experience in Compliance or Branch Exams.
• FINRA Series 7 and Series 24 licenses required.
• Knowledge of the retail brokerage business and investment products.
• Strong verbal and written communication skills.
• Proficient with Windows and MS Office applications.

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 each exam by generating and analyzing various reports.
• Review exam findings with OSJ and Satellite Branch Managers.
• Send exam reports to OSJ, Supervisory and Compliance teams promptly.
• Educate OSJ Managers, Financial Advisors, and staff on industry rules and firm policies.
• Identify and share best practices with supervisory systems during exams.
• Perform for-cause exams as needed.
• Mentor junior team members.

Skills

Verbal & written comms

Detail-oriented

Independent work

FINRA Series 7/24

Education

Bachelor's degree preferred

High school diploma required

Tools

Windows OS

MS Office (Word/Excel/PowerPoint/Outlook)

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 examiner administers exams to assess compliance with applicable regulations and firm policies across the organization.

This is a remote-friendly, full-time opportunity open to qualified applicants in the United States, with travel up to 25% and opportunities to mentor junior staff.