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Branch Office Examiner
Branch Office ExaminerAdvisor Group • Oakdale, MN
Branch Office Examiner

Branch Office Examiner

Advisor Group • Oakdale, MN
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  • [job_card.full_time]
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Osaic Careers

Compliance Opportunity in Financial Services

Branch Office Examiner

Location(s) :

Atlanta : 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339

La Vista : 12325 Port Grace Blvd, La Vista, NE 68128

Oakdale : 7755 3rd St. N, Oakdale, MN 55128

Scottsdale : 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255

St. Petersburg : 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702

Qualified remote applicants will be considered for this role.

Role Type : Full-time

Salary : $67,000 - $73,000 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.

Summary :

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 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 practical 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.
  • Travel independently up to 50% 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.

    • Basic Requirements :

  • 3+ 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
  • FINRA Series 63 and / or Series 63
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