REMOTE Senior Branch Office Examiner
Core
Administering and evaluating branch exams for Financial Advisors to ensure adherence to compliance regulations and firm policies.
Role type
Senior Compliance Examiner (Branch Exams)
Builds
Compliance assurance for Osaic Broker Dealers' branch activities
Domain
Financial Services / Brokerage Compliance
Required skills
FINRA Series 7, FINRA Series 24, regulatory interpretation, report generation, exam scheduling, mentorship
Preferred skills
FINRA Series 66, Independent Broker-Dealer experience
Technologies
Windows, MS Word, MS Excel, MS PowerPoint, MS Outlook
Responsibilities
Conduct 100-120 branch exams annually (onsite or remote), travel up to 25% for onsite exams, schedule and discuss exam expectations with OSJ and Satellite branches, prepare and analyze exam reports, review findings with branch managers, send exam reports to relevant departments, educate managers and staff on industry rules, identify and share best practices, perform for cause exams, mentor junior team members