Branch Office Examiner

About the role

Osaic is currently seeking a 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.

Responsibilities

• Conduct approximately 85-100 onsite exams per year.
• Travel independently up to 50% of the time 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.

Requirements

• Minimum 3 years Independent Broker-Dealer experience.
• FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
• 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.
• Basic knowledge and understanding of the Firm’s and Regulatory Policies.
• Basic proficiency in information technology and skills used to communicate electronically, organize activities and analyze information.
• Must be detail-oriented, investigative and the ability to work independently.

Qualifications

• Preferred requirements include Branch Examiner experience, FINRA Series 24, FINRA Series 65 and/or 66.

Skills

• Detail-oriented
• Investigative
• Independent work capability

Benefits

To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits.

Pay

$65,000 – $75,000 per year + annual bonus. Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Schedule

Full-time