Senior Branch Office Examiner

🔥 1 hour ago

🇺🇸 United States – Remote

💵 $80k - $85k / year

⏰ Full Time

🟠 Senior

👻 Ghost score 0%

What it means: how likely this posting is sitting open without active hiring.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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Osaic

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

💸 Finance

🤝 B2B

Finance • B2B

Osaic is one of the nation’s largest providers of wealth management solutions. It is home to a diverse, service-driven community of professionals who emphasize transformative planning for the future rather than transactional approaches. With over 11,000 financial professionals and more than 270 financial institutions, Osaic manages assets exceeding $700 billion. The company offers comprehensive support and resources to help its partners enhance profitability and achieve personalized business goals. Osaic's community is built on diversity and collaboration, offering securities and investment advisory services through its broker-dealers and registered investment advisers.

📋 Description

• 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

🎯 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 • 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 • Experience with Independent Broker-Dealer • FINRA Series 66

🏖️ Benefits

• Annual bonus • Health insurance • Vision insurance • Dental insurance • 401k • Paid time away • Volunteer days