Osaic Careers
REMOTE Compliance Risk Opportunity in Financial Services
Senior Branch Office Examiner
Location(s): Open to Qualified Remote Applicants in the United States
Role Type: Full-time
Salary: $80,000 - $85,000 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, 401k, 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 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.
Education Requirements:
- Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant 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.
- Perform for cause exams as needed.
- Mentor junior team members.
Basic 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
