Branch Office Examiner
$65k - $75kAdvisor Group
Summary Osaic is currently seeking a Branch Office Examiner in our Branch Exam department. This role administers branch exams to Financial Advisors affiliated with Osaic’s Broker Dealers, ensuring compliance with applicable regulations. Qualified remote applicants will be considered; the role is available for remote hire but requires a hybrid schedule of at least 4 days in the office each week, with travel up to 50% of the time for onsite examinations. Location(s) Atlanta: 2300 Windy Ridge Pkwy SE, Suite 750, Atlanta, GA 30339 La Vista: 12325 Port Grace Blvd, La Vista, NE 68128 Oakdale: 7755 3rd St. N, Oakdale, MN 55128 Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255 St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702 Compensation & Benefits Salary ranges from $65,000 to $75,000 per year plus an annual bonus. Additional benefits include health, vision, dental insurance, a 401(k) plan, paid time away, volunteer days, and more. For full details see 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 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, 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. Basic Requirements Minimum 3 years of independent Broker-Dealer experience. FINRA Series7 license required. FINRA Series24 license required to be obtained within 180 days of hire. Knowledge of 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 communication skills. Basic knowledge and understanding of the Firm’s and Regulatory Policies. Basic proficiency in information technology and related skills for electronic communication, activity organization, and information analysis. Detail-oriented, investigative, and able to work independently. Preferred Requirements Branch Examiner experience. FINRA Series24, Series65 and/or Series66 preferred. #J-18808-Ljbffr Advisor Group
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