Remote Senior Branch Compliance Examiner

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

Job summary

Osaic is seeking a Senior Branch Office Examiner for its Branch Exam department. The role requires supervising branch exams for Financial Advisors affiliated with Osaic Broker Dealers, providing guidance and oversight to ensure compliance with applicable regulations.

The position involves approximately 100–120 exams per year, remote or onsite with up to 25% travel, and mentorship of junior staff. A strong background in FINRA rules, brokerage products, and reporting is essential.

Qualifications

• 5+ years-experience in Compliance or Branch Exams.
• FINRA Series 7 and Series 24 licenses are required.
• Knowledge of the retail brokerage business, fee based advisory business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds.
• Strong verbal and written communications skills required.
• Ability to interpret the Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation.
• Proficient with Windows and MS applications such as Word, Excel, PowerPoint, and Outlook.
• Must be detail-oriented, investigative and the ability to work independently.

Responsibilities

• Conduct approximately 100-120 exams per year either onsite or remotely.
• Travel independently up to 25% of the time when needed 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 various 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.

Skills

Compliance

Regulatory knowledge

FINRA knowledge

Communication skills

Independent worker

Mentoring

Investigative skills

Education

Bachelor's degree preferred

High school diploma or equivalent

Tools

Windows

MS Office

Job description

Osaic is seeking a Senior Branch Office Examiner for its Branch Exam department. The role requires supervising branch exams for Financial Advisors affiliated with Osaic Broker Dealers, providing guidance and oversight to ensure compliance with applicable regulations.

The position involves approximately 100–120 exams per year, remote or onsite with up to 25% travel, and mentorship of junior staff. A strong background in FINRA rules, brokerage products, and reporting is essential.