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Osaic · 1 month ago

Sr. Branch Office Examiner

Scottsdale, AZ

Full-time

Hybrid

Mid, Senior Level

$74K/yr - $80K/yr

5+ years exp

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.

Business DevelopmentFinancial ServicesWealth Management

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

Qualification

FINRA Series 7FINRA Series 24Compliance experienceRetail brokerage knowledgeMS Office proficiencyInvestigative skillsCommunication skillsDetail-orientedIndependent work ability

Required

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