Branch Office Examiner

Overview

Full-time position for a Branch Office Examiner available to qualified remote applicants in the United States.

This role administers branch office examinations for financial advisors affiliated with the organization’s broker-dealers. Examinations include independently inspecting and evaluating branch activities to assess and/or monitor compliance with applicable regulations and to help ensure adherence to applicable compliance requirements.

Responsibilities

• Conduct approximately 85–100 onsite exams per year
• Travel independently up to 50% of the time 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 industry rules, regulations, and firm policies during the exam
• Identify and share best practices with OSJ managers regarding supervisory systems during the exam

Requirements

• Minimum 3 years independent broker-dealer experience
• FINRA Series 7 license is required
• FINRA Series 24 must be obtained within 180 days of hire
• 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 communication skills
• Basic knowledge and understanding of the firm’s and regulatory policies
• Basic proficiency in information technology and skills used to communicate electronically, organize activities, and analyze information
• Must be detail-oriented, investigative, and able to work independently

Preferred Qualifications

• Branch examiner experience
• FINRA Series 24, FINRA Series 65, and/or 66 preferred

Education

• Bachelor’s degree preferred; a high school diploma (or equivalent) combined with significant practical experience will be considered in lieu of degree
• Minimum of a high school diploma or equivalent is required

Compensation & Benefits

• Salary: $65,000 – $75,000 per year + annual bonus
• Actual compensation offered will be determined individually based on job-related factors including location, skills, licensure, experience, and education
• Additional benefits include health, vision, dental insurance, 401(k), paid time away, volunteer days, and more

Location

Open to qualified remote applicants in the United States.

Eligibility

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by the organization.

Equal Opportunity

The organization is an equal opportunity employer and considers candidates without regard to age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Recruiting Agencies

Only candidates submitted by contracted recruiting firms for searches approved prior to submissions will be considered. Fees will not be paid for unsolicited submissions.