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Branch Office Examiner
Accepting qualified candidates in all locations & 100% remote work from home
This Branch Examiner position is responsible for administering the Branch Exams to Financial Advisors affiliated with Advisor Group Broker Dealers. Our Branch Examiners independently inspect and evaluate branch activities to assess and/or monitor compliance of applicable regulations and to ensure adherence to compliance of all applicable regulations.
- Conduct approximately 100-120 exams per year either onsite or remotely.
- Travel independently up to 25% 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.
- All other duties as assigned
- Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.
- 3+ years-experience in Compliance or Branch Exams.
- FINRA Series 7, Series 24 and Series 63 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.
- Proficiency in MS Office.
- Must be detail-oriented, investigative and the ability to work independently.
- Ability to provide and receive constructive and positive feedback
Current Employees and Contractors Apply Here
- Experience with Independent Broker-Dealers a plus.
- FINRA Series 66 preferred.