Advisor Group
Compliance Opportunity in Financial Services
Branch Office Examiner
Location(s):
Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, 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
Qualified remote applicants will be considered for this role.
Role Type: Full‑time
Salary: $67,000 - $73,000 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.
Our competitive compensation is just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401(k), paid time away, 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 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.
Education Requirements: Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.
Responsibilities:
Conduct approximately 100-120 exams per year either onsite or remotely.
Travel independently up to 25% 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.
Basic Requirements:
3+ 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 Series 63
Equal Opportunity Employer Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.
Eligibility Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.
Unqualified Applications Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
Recruiting Agencies Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.
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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
Qualified remote applicants will be considered for this role.
Role Type: Full‑time
Salary: $67,000 - $73,000 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.
Our competitive compensation is just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401(k), paid time away, 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 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.
Education Requirements: Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.
Responsibilities:
Conduct approximately 100-120 exams per year either onsite or remotely.
Travel independently up to 25% 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.
Basic Requirements:
3+ 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 Series 63
Equal Opportunity Employer Osaic is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.
Eligibility Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Osaic.
Unqualified Applications Osaic does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
Recruiting Agencies Osaic only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.
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