Sr. Branch Office Examiner

Compliance Opportunity in Financial Services

Senior Branch Office Examiner

Location: Given the regional and travel requirements for this position, Osaic is open to remote applicants for this position.

Role Type: Full-Time

Salary: $70,000 - $90,000 per year + annual bonus

• Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, experience, and education.
• Our competitive salaries are just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, vacation and sick time, volunteer days and much more.
• To view more details of what you can look forward to, visit our careers page: https://careers.osaic.com/Creative/Benefits

Summary:

Osaic is currently seeking a Sr. 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 Broker Dealers. Our employees are the "how" and the "why" of Osaic's success. This position is responsible for administering Branch Exams to Financial Advisors affiliated with Osaic Broker Dealers. The branch exams involve independently inspecting and evaluating branch activities to assess and/or monitor compliance of applicable regulations and to ensure adherence to compliance of all applicable regulations.

Responsibilities:

• Conduct approximately 85 - 100 exams per year either onsite or remotely.
• Travel independently up to 50% of the time when needed 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 junior team members.

Education Requirements:

• Minimum of high school diploma or equivalent is required.
• Bachelor's degree preferred.

Requirements:

• 5+ years-experience in Compliance or Branch Exams.
• FINRA Series 7 and Series 24 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.
• Ability to interpret the Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation.
• Proficient with Windows and MS applications such as Word, Excel, PowerPoint, and Outlook
• Must be detail-oriented, investigative and the ability to work independently.

Preferred Requirements:

• Experience with Independent Broker-Dealer
• FINRA Series 63 and/ or 66

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