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Branch Office Examiner

Company: Advisor Group
Location: Omaha
Posted on: January 17, 2022

Job Description:

Compliance Opportunity in Financial Services
Branch Office Examiner

Location: Remote
Qualified candidates in all locations encouraged to apply

Summary:
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.

Responsibilities:
Conduct approximately 100-120 exams per year.
Travel independently 50% of the time.
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.
Assist in the training of new examiners.
Perform for cause exams as needed.
All other duties as assigned.

Education Requirements:
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.

Basic Requirements:
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 independently.
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.

Preferred Requirements:
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 Opportunity Employer

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.
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 Advisor Group.
Unqualified Applications

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
Recruiting Agencies

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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