Remote Senior Branch Compliance Examiner

Osaic; Saint Petersburg (FL); Remote; USD 80,000 - 85,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time off

Volunteer days

Job summary

Osaic is seeking a Sr. Branch Office Examiner in our Branch Exam department.

This role provides guidance and oversight of Branch Exams to Financial Advisors affiliated with Osaic Broker Dealers, inspecting activities to ensure adherence to applicable regulations. The position is full-time with open remote work for qualified applicants in the United States, requires up to 25% travel, and offers a competitive compensation package plus benefits.

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 common investment products.
• Strong verbal and written communications skills.
• Ability to interpret FINRA/ Sales Practice Manual and related publications.
• Proficient with Windows and MS Office applications.

Responsibilities

• Conduct approximately 100-120 exams per year onsite or remotely.
• Travel independently up to 25% of the time for onsite 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.
• Educate OSJ Managers, Financial Advisors and staff on industry rules during the exam.
• Identify and share best practices with OSJ Managers during exams.
• Perform for cause exams as needed.
• Mentor junior team members.

Skills

Compliance experience

Regulatory knowledge

Analytical skills

Communication skills

Detail-oriented

Travel readiness

Education

FINRA Series 7 & 24 licenses

Bachelor's degree preferred or equivalent

Tools

Windows

MS Office (Word, Excel, PowerPoint, Outlook)

Job description

Osaic is seeking a Sr. Branch Office Examiner in our Branch Exam department.

This role provides guidance and oversight of Branch Exams to Financial Advisors affiliated with Osaic Broker Dealers, inspecting activities to ensure adherence to applicable regulations. The position is full-time with open remote work for qualified applicants in the United States, requires up to 25% travel, and offers a competitive compensation package plus benefits.