Remote Senior Branch Office Examiner - Compliance & Audits

Advisorgroup; Atlanta (GA); 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 involves inspecting and evaluating branch activities to ensure compliance with applicable regulations for Financial Advisors affiliated with Osaic Broker Dealers.

The position requires 5+ years in Compliance or Branch Exams, FINRA Series 7 and 24 licenses, and strong communication skills. Remote work is available with occasional travel up to 25% for onsite exams.

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, fee-based advisory business and common investment products.
• Strong verbal and written communications skills.
• Ability to interpret the Sales Practice Manual, FINRA manual and other regulatory publications.
• Proficient with Windows and MS applications such as Word, Excel, PowerPoint, and Outlook.

Responsibilities

• Conduct approximately 100-120 exams per year either 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 promptly.
• Educate OSJ Managers, Financial Advisors and staff on industry rules and firm policies during the exam.
• Identify and share best practices with OSJ Managers regarding supervisory systems.
• Perform for cause exams as needed.
• Mentor junior team members.

Skills

Compliance

Branch Exams

Regulatory knowledge

Communication skills

Travel readiness

Education

Bachelor's degree

High school diploma

Tools

Windows

MS Office

Job description

Osaic is seeking a Senior Branch Office Examiner for its Branch Exam department. The role involves inspecting and evaluating branch activities to ensure compliance with applicable regulations for Financial Advisors affiliated with Osaic Broker Dealers.

The position requires 5+ years in Compliance or Branch Exams, FINRA Series 7 and 24 licenses, and strong communication skills. Remote work is available with occasional travel up to 25% for onsite exams.