Branch Office Examiner

Osaic

Atlanta, GA, US
Base: $65,000 – $75,000 py; bonus: annual bonus in...
Hybrid (minimum of 4 days in the office, with remote options available)
Independent broker-dealer experience
Onsite branch examination travel
Review exam findings with managers
Osaic is seeking a Branch Office Examiner to oversee compliance and conduct inspections of financial advisors' branch activities. The role requires significant travel and offers a hybrid working arrangement, along with competitive compensation and benefits

Job Summary

  • This position is responsible for administering Branch Exams to Financial Advisors affiliated with Osaic's Broker Dealers.
  • The role involves conducting approximately 85-100 onsite exams per year with up to 50% independent travel.
  • Employees receive a competitive compensation package including health, vision, dental insurance, 401k, and paid time away.

Matching Summary

Match Score: 85

Osaic is seeking a Branch Office Examiner to oversee compliance and conduct inspections of financial advisors' branch activities. The role requires significant travel and offers a hybrid working arrangement, along with competitive compensation and benefits.

Salary

Base: $65,000 – $75,000 per year; Bonus: Annual bonus included; Benefits: Health, vision, dental, 401k, PTO

Skills & Requirements

Must-have

  • Independent Broker-Dealer experience
  • Onsite branch examination travel
  • Review exam findings with managers

Nice-to-have

  • Share best practices with managers
  • Educate staff on industry rules
  • Investigative and detail-oriented mindset

Key Requirements

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

Work Rights

Not specified

Tailored Resume

Cover Letter