Remote Branch Compliance Examiner
Advisor Group
La Vista, NE
- Remote job
Osaic is seeking a Branch Office Examiner for the Branch Exam department. The role involves administering Branch Exams to Financial Advisors affiliated with Osaic’s Broker Dealers, inspecting branch activities for regulatory compliance and adherence to applicable regulations. Expected travel up to 50% for onsite exams and 3+ years of Broker-Dealer experience are required. A Series 7 license is mandatory, with Series 24 to be obtained within 180 days of hire. #J-18808-Ljbffr Advisor Group
Vacancy posted 4 days ago
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