Branch Office Examiner (Remote)

About the role

Osaic is looking for a Branch Office Examiner for its Branch Exam department, providing guidance and oversight of branch exams for Financial Advisors affiliated with Osaic's broker-dealers. The role involves independently inspecting and evaluating branch activities to assess and monitor compliance with applicable regulations. It is open to qualified remote applicants in the United States, with a stated location of Scottsdale.

Key responsibilities

• Conduct approximately 85-100 onsite exams per year, travelling independently up to 50% of the time.
• Schedule and discuss exam expectations with OSJ and satellite branches.
• Prepare for each exam by generating and analysing reports, then review findings with branch managers.
• Send exam reports to OSJ and satellite branch managers, as well as the Supervision and Compliance departments.
• Educate OSJ managers, financial advisors and support staff on industry rules, regulations and firm policies during the exam.
• Identify and share best practices with OSJ managers on supervisory systems.

Required profile

• Minimum 3 years of independent broker-dealer experience.
• FINRA Series 7 license required; Series 24 must be obtained within 180 days of hire.
• Bachelor's degree preferred; a high school diploma or equivalent with significant practical experience may be considered instead.
• Knowledge of retail brokerage, fee-based advisory and common investment products such as mutual funds, variable annuities, alternative investments, stocks and bonds.
• Preferred: Branch Examiner experience, and FINRA Series 24, 65 and/or 66.

Required skills

• Strong verbal and written communication skills.
• Basic knowledge of firm and regulatory policies.
• Basic proficiency in information technology and electronic communication.
• Detail-oriented, investigative and able to work independently.

What we offer

• Salary of $65,000 - $75,000 per year plus an annual bonus.
• Health, vision and dental insurance, 401k, paid time away and volunteer days.