Remote Senior Branch Compliance Examiner

Osaic; Scottsdale (AZ); 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 currently 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.

The role administers exams to assess compliance with regulations and to ensure adherence across the firm's activities. Responsibilities include conducting 100–120 exams per year, traveling up to 25% for onsite examinations, scheduling with OSJ and satellites, preparing reports, and educating

Qualifications

• 5+ years experience in Compliance or Branch Exams.
• FINRA Series 7 and Series 24 licenses required.
• Knowledge of retail brokerage and investment products.
• Strong verbal and written communication skills.

Responsibilities

• Conduct approximately 100-120 exams per year onsite or remotely.
• Travel up to 25% for onsite branch examinations.
• Schedule and discuss exam expectations with OSJ and satellites.
• Prepare exams by generating and analyzing reports.
• Review findings with OSJ and Branch Managers.
• Send reports to supervisors and compliance teams promptly.
• Educate managers and staff on industry rules during exams.
• Mentor junior team members.

Skills

FINRA 7

FINRA 24

Compliance

Branch Exams

Brokerage Knowledge

MS Office

Communication

Detail Oriented

Education

Bachelor's degree preferred

High school diploma or equivalent

Job description

Osaic is currently 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.

The role administers exams to assess compliance with regulations and to ensure adherence across the firm's activities. Responsibilities include conducting 100–120 exams per year, traveling up to 25% for onsite examinations, scheduling with OSJ and satellites, preparing reports, and educating