Senior Remote Branch Compliance Examiner

Advisor Group; Scottsdale (AZ); Remote; USD 80,000 - 85,000; Full time

Job summary

Osaic is seeking a Sr. Branch Office Examiner to oversee exams for Financial Advisors affiliated with Osaic Broker Dealers. This role provides guidance and oversight of branch exams to ensure adherence to all applicable regulations.

The position requires 5+ years in Compliance or Branch Exams, FINRA Series 7 and 24, and knowledge of retail brokerage products. Travel up to 25% and mentoring junior team members are expected.

Qualifications

• 5+ years of experience in Compliance or Branch Exams.
• FINRA Series 7 and Series 24 licenses required.
• Knowledge of retail brokerage business, fee-based advisory and investment products.

Responsibilities

• Conduct approximately 100-120 exams per year either onsite or remotely.
• Travel independently up to 25% for onsite branch examinations.
• Schedule and discuss exam expectations with OSJ and Satellite branches.
• Prepare for each exam by generating and analyzing reports.
• Review exam findings with OSJ and Satellite Branch Managers.
• Send exam reports to relevant departments in a timely manner.
• Educate staff on industry 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

FINRA Series 7

FINRA Series 24

MS Office

Verbal & written communication

Education

Bachelor's degree preferred

High school diploma

Tools

Windows

Excel

PowerPoint

Outlook

Job description

Osaic is seeking a Sr. Branch Office Examiner to oversee exams for Financial Advisors affiliated with Osaic Broker Dealers. This role provides guidance and oversight of branch exams to ensure adherence to all applicable regulations.

The position requires 5+ years in Compliance or Branch Exams, FINRA Series 7 and 24, and knowledge of retail brokerage products. Travel up to 25% and mentoring junior team members are expected.