Branch Office Examiner

Advisor Group•Scottsdale, AZ

6d•$65,000 - $75,000•Remote

About The Position

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 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’s 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.

Requirements

Minimum 3 years Independent Broker-Dealer experience.
FINRA series 7 license is required.
Series 24 is required to be obtained within 180 days of hire.
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 knowledge and understanding of the Firm’s and Regulatory Policies
Basic proficiency in information technology and skills used to communicate electronically, organize activities and analyze information.
Must be detail-oriented, investigative and the ability to work independently.

Nice To Haves

Branch Examiner experience.
FINRA Series 24, FINRA Series 65 and/ or 66 preferred.

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 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.