Remote Senior Branch Compliance Examiner

Osaic; United States; 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 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 is responsible for administering Branch Exams to Financial Advisors affiliated with Osaic Broker Dealers.

Qualifications

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

Responsibilities

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

Skills

Compliance knowledge

Branch exams

Regulatory awareness

Communication skills

Education

Bachelor’s degree preferred

High school diploma required

Tools

Windows

MS Office

Job description

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 is responsible for administering Branch Exams to Financial Advisors affiliated with Osaic Broker Dealers.