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Entry Level Finra Series 3 Jobs (NOW HIRING)

Osaic

Branch Office Examiner

Oakdale, MN · On-site +1

$65K - $75K/yr

Minimum 3 years Independent Broker-Dealer experience. * FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire. * Knowledge of the retail brokerage business ...

Osaic

Branch Office Examiner

Petersburg, VA · On-site +1

$65K - $75K/yr

Minimum 3 years Independent Broker-Dealer experience. * FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire. * Knowledge of the retail brokerage business ...

Frost Bank

Wealth Advisor III

Leander, TX

If so, the Wealth Advisor III role might be for you! At Frost, it's about more than a job. It ... FINRA Series 7, 63, and 65 licenses or FINRA Series 7 and 66 licenses; or ability to obtain within ...

Frost Bank

Wealth Advisor III

Leander, TX · On-site

If so, the Wealth Advisor III role might be for you! At Frost, it's about more than a job. It ... FINRA Series 7, 63, and 65 licenses or FINRA Series 7 and 66 licenses; or ability to obtain within ...

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Entry Level Finra Series 3 information

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As of Aug 27, 2026, the average yearly pay for entry level finra series 3 in the United States is $63,444.00, according to ZipRecruiter salary data. Most workers in this role earn between $47,000.00 and $75,500.00 per year, depending on experience, location, and employer.

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Entry Level Finra Series 3 jobs near you

Branch Office Examiner

Oakdale, MN • On-site, Remote

Osaic
Finance and Insurance • 1 - 5K employees

8.1

Company rating: 8.1 out of 10

Based on 12 frontline employees who took The Breakroom Quiz

People enjoy working here

Good employer

Paid breaks

Learn more about Osaicexternal

$65K - $75K/yr

Full-time

Medical, Dental, Vision, Retirement

Re-posted 5 days ago

Job description

Current Employees and Contractors Apply HereOsaic Careers

REMOTE Compliance Risk Opportunity in Financial Services

Branch Office Examiner

Location(s): Open to Qualified Remote Applicants in the United States

Role Type:Full-time

Salary: $65,000 - $75,000 per year + annual bonus

Actual compensation offered will be determined individually, based on a number of job-related factors, including location, skills, licensure, experience, and education.

Our competitive compensation is just one component of Osaic's total compensation package. Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days and much more. To view more details of what you can look forward to, visit our careers page:https://careers.osaic.com/Creative/Benefits.

Summary:

Osaic is currently seeking a Branch Office Examiner in our Branch Exam department. This is an outstanding opportunity to provide influential guidance and oversight of Branch Exams to Financial Advisors affiliated with Osaic Our employees are the "how" and the "why" of Osaic's success. This position is responsible for administering Branch Exams to Financial Advisors affiliated with Osaic's Broker Dealers. The branch exams involve independently inspecting and evaluating branch activities to assess and/or monitor compliance of applicable regulations and to ensure adherence to compliance of all applicable regulations.

Education Requirements:

  • Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant practical experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

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 various industry rules, regulations, and firm policies during the exam.
  • Identify and share best practices with OSJ Managers regarding supervisory systems during the exam.

Basic Requirements:

  • Minimum 3 years Independent Broker-Dealer experience.
  • FINRA series 7 license is required. Series 24 is required to 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 communications skills required.
  • 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 the ability to work independently.

Preferred Requirements:

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

#LI-Remote

Current Employees and Contractors Apply Here
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About Osaic

Sourced by ZipRecruiter

Industry

Finance and insurance

Company size

1,001 - 5,000 Employees

Headquarters location

Phoenix, AZ, US

Year founded

2016

View All Osaic Jobs

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