Branch Office Examiner

Osaic

Atlanta, GA, US
$65,000 – $75,000 py; annual bonus; health, vision...
Hybrid (minimum 4 days onsite)
Administer branch exams
Evaluate branch activities
Assess regulatory compliance
Osaic is seeking a Branch Office Examiner to conduct compliance examinations for financial advisors associated with its broker-dealers. The role requires significant travel and offers a competitive salary and benefits, including opportunities for remote work

Job Summary

  • This position is responsible for administering Branch Exams to Financial Advisors affiliated with Osaic’s Broker Dealers.
  • The branch exams involve independently inspecting and evaluating branch activities to assess and/or monitor compliance of applicable regulations.
  • Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more.

Matching Summary

Match Score: 85

Osaic is seeking a Branch Office Examiner to conduct compliance examinations for financial advisors associated with its broker-dealers. The role requires significant travel and offers a competitive salary and benefits, including opportunities for remote work.

Salary

$65,000 – $75,000 per year; annual bonus; health, vision, dental insurance, 401k, paid time away, volunteer days

Skills & Requirements

Must-have

  • Administer Branch Exams
  • Evaluate Branch Activities
  • Assess Regulatory Compliance
  • Educate Financial Advisors
  • Identify Best Practices

Nice-to-have

  • Independent work ethic
  • Investigative mindset
  • Strong communication skills

Key Requirements

  • Minimum 3 years Independent Broker-Dealer experience
  • FINRA Series 7 license required
  • FINRA Series 24 required within 180 days
  • Bachelor's degree preferred

Work Rights

Not specified

Tailored Resume

Cover Letter