What are the responsibilities and job description for the Sr. Branch Office Examiner position at Osaic, Inc.?
Current Employees and Contractors Apply Here Osaic Careers Compliance Opportunity in Financial Services Senior 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: $74,000 - $80,000 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 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. 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 FINRA Series 66 Current Employees and Contractors Apply Here Don't see a job that works for you? Not to worry, you can still introduce yourself to us by clicking on, Get Started.
Salary : $74,000 - $80,000