Remote Senior Branch Compliance Examiner

Osaic; Oakdale (MN); À distance; USD 80 000 - 85 000; Plein temps

Avantages offerts par ce poste

Health insurance

Vision and dental insurance

401k

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 administers Branch Exams to Financial Advisors affiliated with Osaic Broker Dealers, inspecting and evaluating branch activities to ensure adherence to all applicable regulations

Qualifications

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

Responsabilités

• Conduct approximately 100-120 exams per year either onsite or remotely.
• Travel up to 25% for onsite examinations.
• Schedule and discuss exam expectations with OSJ and Satellite branches.
• Prepare by generating and analyzing reports for each exam.
• Review exam findings with OSJ and Satellite Branch Managers.
• Send exam reports to relevant stakeholders in a timely manner.
• Educate staff on industry rules and firm policies during exams.
• Identify best practices for supervisory systems during exams.
• Mentor junior team members.

Connaissances

Compliance

Branch Exams

Communication

MS Office

Formation

Bachelor's degree preferred

High school diploma required

Outils

Windows

MS Office

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 administers Branch Exams to Financial Advisors affiliated with Osaic Broker Dealers, inspecting and evaluating branch activities to ensure adherence to all applicable regulations