Senior Branch Office Examiner

Advisor Group•Scottsdale, AZ

4d•$80,000 - $85,000•Remote

About The Position

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.

Requirements

3-5 years’ experience as a Branch Examiner in the Independent Broker-Dealer Channel.
FINRA series 7 and 24 (or 9/10) 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.
Basic proficiency for information technology and skills used to communicate electronically, organize activities and analyze information.
Proficiency in MS Office.
Must be detail-oriented, investigative and the ability to work independently.

Nice To Haves

Experience with Independent Broker-Dealers a plus.
FINRA Series 63 and/ or 66 preferred.

Responsibilities

Conduct approximately 85-100 exams per year either onsite or remotely, if applicable.
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.
Perform “for cause” exams as needed.
Mentor and train Junior team members.
All other duties as assigned