Branch Office Examiner
Company: Advisor Group
Posted on: January 17, 2022
Compliance Opportunity in Financial Services
Branch Office Examiner
Qualified candidates in all locations encouraged to apply
Advisor Group is currently looking to hire a Branch Office Examiner
within the Compliance Department. The Branch Examiner is
responsible for administering Branch Exams to our network of
Financial Advisors affiliated with Advisor Group Broker Dealers.
The branch exams independently inspect and evaluate branch
activities to assess and/or monitor compliance of and ensure
adherence to all applicable regulations.
Conduct approximately 100-120 exams per year.
Travel independently 50% of the time.
Schedule and discuss exam expectations with the OSJ and Satellite
Prepare for each exam by generating and analyzing various
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
Identify and share best practices with OSJ Managers regarding
supervisory systems during the exam.
Assist in the training of new examiners.
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
3+ years' experience in Compliance or Branch Exams.
FINRA Series 7, 24 and 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 have the ability to work
Must have the ability to: Travel via automobile, train, and/or
airplane to visit branch offices independently throughout the
United States in business attire throughout the year; carry
luggage, a briefcase and a company furnished laptop.
Experience with Independent Broker-Dealers a plus.
Knowledge of Vision2020, Sunguard, and NetX360 a plus. Be A Part Of
The Team Behind Our Success!
At Advisor Group, we support financial professionals across the
nation, the people who help everyday Americans achieve their
dreams. We're a billion-dollar business with the mentality and
drive of a startup. Join us in building something special. Equal
Advisor Group is an equal opportunity employer. We celebrate
diversity in our workplace and we hire the most qualified
candidates without regard for 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.
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 Advisor Group.
Advisor Group does not consider applications from candidates who do
not meet the minimum qualifications stated in the job posting.
Advisor Group only accepts candidates from contracted recruiting
firms and only for searches approved prior to submissions. Fees
will not be paid for unsolicited submissions.
Keywords: Advisor Group, Omaha , Branch Office Examiner, Administration, Clerical , Omaha, Nebraska
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