Senior Branch Office Examiner

About the role

Osaic is seeking a Senior Branch Office Examiner in our Branch Exam department. This role involves providing guidance and oversight of Branch Exams to Financial Advisors affiliated with Osaic Broker Dealers.

Responsibilities

• Conduct approximately 85-100 exams per year either onsite or remotely, if applicable.
• 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.
• Perform “for cause” exams as needed.
• Mentor and train Junior team members.
• All other duties as assigned.

Requirements

• 3-5 years’ experience as a Branch Examiner in the Independent Broker-Dealer Channel.
• FINRA series 7 and 24 (or 9/10) licenses are required.
• 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 proficiency for information technology and skills used to communicate electronically, organize activities and analyze information.

Qualifications

• Basic proficiency for information technology and skills used to communicate electronically, organize activities and analyze information.
• Proficiency in MS Office.
• Must be detail-oriented, investigative and the ability to work independently.

Skills

• Experience with Independent Broker-Dealers is a plus.
• FINRA Series 63 and/or 66 preferred.

Benefits

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

Pay

$80,000 – $85,000 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

Not specified.