REMOTE Senior Branch Office Examiner

Advisor Group•Atlanta, GA

19h•Remote

About The Position

Osaic is seeking a Senior Branch Office Examiner for its Branch Exam department. The position administers branch examinations for Financial Advisors affiliated with Osaic Broker Dealers, independently inspecting and evaluating branch activities to assess and monitor compliance with applicable regulations and firm policies. Exams may be conducted onsite or remotely. The examiner provides guidance to OSJ and Satellite Branch Managers, Financial Advisors, and support staff, identifies supervisory best practices, conducts for-cause exams when needed, and mentors junior team members. The role is open to qualified remote applicants in the United States and may require independent travel for onsite examinations.

Requirements

At least 5 years of experience in Compliance or Branch Exams.
FINRA Series 7 and Series 24 licenses.
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 communication skills.
Ability to interpret the Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices, and other publications concerning broker/dealer regulation.
Proficiency with Windows and Microsoft applications such as Word, Excel, PowerPoint, and Outlook.
Detail-oriented and investigative approach, with the ability to work independently.
At least a high school diploma or equivalent; significant experience may be considered in lieu of a preferred bachelor's degree.

Nice To Haves

Experience with an Independent Broker-Dealer.
FINRA Series 66 license.
Bachelor's degree preferred.

Responsibilities

Conduct approximately 100–120 branch examinations per year, onsite or remotely.
Travel independently up to 25% of the time when needed for onsite branch examinations.
Schedule examinations and discuss expectations with OSJ and Satellite branches.
Prepare for examinations by generating and analyzing reports.
Review examination findings with OSJ and Satellite Branch Managers.
Send examination reports promptly to OSJ and Satellite Branch Managers, Supervision, and Compliance departments.
Educate OSJ Managers, Financial Advisors, and support staff on industry rules, regulations, and firm policies during examinations.
Identify and share best practices with OSJ Managers regarding supervisory systems.
Perform for-cause examinations as needed.
Mentor junior team members.