Senior Branch Office Examiner

Osaic

. Conduct approximately 100-120 exams per year either onsite or remotely .

Posted 10/14/2026full-timeRemote • United StatesSenior💰 $80,000 - $85,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in conducting compliance examinations and mentoring team members while ensuring adherence to industry regulations and best practices. Proficient in analyzing reports and communicating findings effectively to various stakeholders.

Highest-signal resume keywords

FINRA Series 7 LicenseFINRA Series 24 License5+ Years Experience in ComplianceKnowledge of Retail Brokerage BusinessStrong Verbal and Written Communication Skills

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance ExaminationReport AnalysisRegulatory InterpretationDetail-OrientedInvestigative Skills

Soft Skills

MentoringIndependent WorkCommunication

Tools & Technologies

WindowsMS WordMS ExcelMS PowerPointMS Outlook

Certifications & Qualifications

FINRA Series 66High School Diploma or Equivalent

Industry Keywords

Branch ExamsInvestment ProductsMutual FundsVariable AnnuitiesAlternative InvestmentsStocksBondsSales Practice ManualFINRA Notices to MembersIndependent Broker-Dealer

About the role

Key responsibilities & impact

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
Mentor junior team members

Requirements

What you’ll need

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
5+ years-experience in Compliance or Branch Exams
FINRA Series 7 and Series 24 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
Proficient with Windows and MS applications such as Word, Excel, PowerPoint, and Outlook
Must be detail-oriented, investigative and the ability to work independently
Experience with Independent Broker-Dealer
FINRA Series 66

Benefits

Comp & perks

Annual bonus
Health insurance
Vision insurance
Dental insurance
401k
Paid time away
Volunteer days