Branch Office Examiner

Compliance Opportunity in Financial Services

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 : $67,000 - $73,000 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.

Summary :

Osaic is currently seeking a 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 :

Basic Requirements :

Preferred Requirements :