La Vista, NE · On-site +1
$65K - $75K/yr
... 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 ...
La Vista, NE · On-site +1
$65K - $75K/yr
... 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 ...
Omaha, NE · On-site
$81K - $101K/yr
As a Senior Illustration Analyst II, you'll move Pacific Life, and your career, forward by joining ... FINRA Series 6 license (or willingness to obtain). * Ability to work in a high-volume, fast-paced ...
Omaha, NE · On-site
$81K - $101K/yr
As a Senior Illustration Analyst II, you'll move Pacific Life, and your career, forward by joining ... FINRA Series 6 license (or willingness to obtain). * Ability to work in a high-volume, fast-paced ...
$81K - $101K/yr
As a Senior Illustration Analyst II, you'll move Pacific Life, and your career, forward by joining ... FINRA Series 6 license (or willingness to obtain). * Ability to work in a high-volume, fast-paced ...
$81K - $101K/yr
As a Senior Illustration Analyst II, you'll move Pacific Life, and your career, forward by joining ... FINRA Series 6 license (or willingness to obtain). * Ability to work in a high-volume, fast-paced ...
La Vista, NE · On-site +1
$65K - $75K/yr
... 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 ...
La Vista, NE · On-site +1
$65K - $75K/yr
... 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 ...
La Vista, NE · On-site +1
$65K - $75K/yr
... 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 ...
La Vista, NE · On-site +1
$65K - $75K/yr
... 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 ...
Omaha, NE · On-site +1
$75K - $100K/yr
Strong working knowledge of FINRA, SEC, and MSRB rules, with the ability to analyze sales activity, exception reports, and investigations to ensure regulatory and firm compliance. * Proven ability to ...
Omaha, NE · On-site +1
$75K - $100K/yr
Strong working knowledge of FINRA, SEC, and MSRB rules, with the ability to analyze sales activity, exception reports, and investigations to ensure regulatory and firm compliance. * Proven ability to ...
La Vista, NE · Hybrid
$65K - $75K/yr
Analytical and problem-solving skills Preferred Requirements: * FINRA Series 65 or Series 66 preferred * Life & Variable Insurance licenses preferred Current Employees and Contractors Apply Here
La Vista, NE · Hybrid
$65K - $75K/yr
Analytical and problem-solving skills Preferred Requirements: * FINRA Series 65 or Series 66 preferred * Life & Variable Insurance licenses preferred Current Employees and Contractors Apply Here
La Vista, NE · Hybrid
$70K - $80K/yr
Excellent analytical and problem-solving skills. Preferred Requirements: * FINRA Series 4 and or/53 (could be obtained at a later date) Current Employees and Contractors Apply Here
La Vista, NE · Hybrid
$70K - $80K/yr
Excellent analytical and problem-solving skills. Preferred Requirements: * FINRA Series 4 and or/53 (could be obtained at a later date) Current Employees and Contractors Apply Here
La Vista, NE · Hybrid
$70K - $80K/yr
Excellent analytical and problem-solving skills. Preferred Requirements: * FINRA Series 4 and or/53 (could be obtained at a later date) Current Employees and Contractors Apply Here
La Vista, NE · Hybrid
$70K - $80K/yr
Excellent analytical and problem-solving skills. Preferred Requirements: * FINRA Series 4 and or/53 (could be obtained at a later date) Current Employees and Contractors Apply Here
La Vista, NE · Hybrid
$70K - $80K/yr
Excellent analytical and problem-solving skills. Preferred Requirements: * FINRA Series 4 and or/53 (could be obtained at a later date) #LI Current Employees and Contractors Apply Here
La Vista, NE · Hybrid
$70K - $80K/yr
Excellent analytical and problem-solving skills. Preferred Requirements: * FINRA Series 4 and or/53 (could be obtained at a later date) #LI Current Employees and Contractors Apply Here
La Vista, NE · Hybrid
$70K - $80K/yr
Excellent analytical and problem-solving skills. Preferred Requirements: * FINRA Series 4 and or/53 (could be obtained at a later date) Current Employees and Contractors Apply Here
La Vista, NE · Hybrid
$70K - $80K/yr
Excellent analytical and problem-solving skills. Preferred Requirements: * FINRA Series 4 and or/53 (could be obtained at a later date) Current Employees and Contractors Apply Here
Lincoln, NE · Remote
$30 - $40/hr
Adapts instruction using FINRA practice examinations, flashcard-based formula review, and case study analysis to support financial services professionals preparing for securities registration ...
Lincoln, NE · Remote
$30 - $40/hr
Adapts instruction using FINRA practice examinations, flashcard-based formula review, and case study analysis to support financial services professionals preparing for securities registration ...
Omaha, NE · Remote
$30 - $40/hr
Adapts instruction using FINRA practice examinations, flashcard-based formula review, and case study analysis to support financial services professionals preparing for securities registration ...
Omaha, NE · Remote
$30 - $40/hr
Adapts instruction using FINRA practice examinations, flashcard-based formula review, and case study analysis to support financial services professionals preparing for securities registration ...
La Vista, NE · Hybrid
$70K - $80K/yr
Excellent analytical and problem-solving skills. Preferred Requirements: * FINRA Series 4 and or/53 (could be obtained at a later date) #LI Equal Opportunity Employer Osaic is an equal opportunity ...
La Vista, NE · Hybrid
$70K - $80K/yr
Excellent analytical and problem-solving skills. Preferred Requirements: * FINRA Series 4 and or/53 (could be obtained at a later date) #LI Equal Opportunity Employer Osaic is an equal opportunity ...
La Vista, NE · Hybrid
$70K - $80K/yr
Excellent analytical and problem-solving skills. Preferred Requirements: * FINRA Series 4 and or/53 (could be obtained at a later date) Equal Opportunity Employer Osaic is an equal opportunity ...
La Vista, NE · Hybrid
$70K - $80K/yr
Excellent analytical and problem-solving skills. Preferred Requirements: * FINRA Series 4 and or/53 (could be obtained at a later date) Equal Opportunity Employer Osaic is an equal opportunity ...
La Vista, NE · Hybrid
$70K - $80K/yr
Excellent analytical and problem-solving skills. Preferred Requirements: * FINRA Series 4 and or/53 (could be obtained at a later date) Equal Opportunity Employer Osaic is an equal opportunity ...
La Vista, NE · Hybrid
$70K - $80K/yr
Excellent analytical and problem-solving skills. Preferred Requirements: * FINRA Series 4 and or/53 (could be obtained at a later date) Equal Opportunity Employer Osaic is an equal opportunity ...
La Vista, NE · Hybrid
$70K - $75K/yr
... FINRA and SEC rules regarding communications with the public * Ability to effectively handle and prioritize multiple task in a fast-paced environment to meet defined deadlines * Strong analytical and ...
La Vista, NE · Hybrid
$70K - $75K/yr
... FINRA and SEC rules regarding communications with the public * Ability to effectively handle and prioritize multiple task in a fast-paced environment to meet defined deadlines * Strong analytical and ...
La Vista, NE · On-site
$70K - $75K/yr
... FINRA and SEC rules regarding communications with the public * Ability to effectively handle and prioritize multiple task in a fast-paced environment to meet defined deadlines * Strong analytical and ...
La Vista, NE · On-site
$70K - $75K/yr
... FINRA and SEC rules regarding communications with the public * Ability to effectively handle and prioritize multiple task in a fast-paced environment to meet defined deadlines * Strong analytical and ...
La Vista, NE · Hybrid
$65K - $75K/yr
Analytical and problem-solving skills Preferred Requirements: * FINRA Series 65 or Series 66 preferred * Life & Variable Insurance licenses preferred Equal Opportunity Employer Osaic is an equal ...
La Vista, NE · Hybrid
$65K - $75K/yr
Analytical and problem-solving skills Preferred Requirements: * FINRA Series 65 or Series 66 preferred * Life & Variable Insurance licenses preferred Equal Opportunity Employer Osaic is an equal ...
La Vista, NE · Hybrid
$48K - $52K/yr
High attention to detail, analytical mindset, and problem-solving skills * Ability to work ... FINRA Series 7 license Current Employees and Contractors Apply Here
La Vista, NE · Hybrid
$48K - $52K/yr
High attention to detail, analytical mindset, and problem-solving skills * Ability to work ... FINRA Series 7 license Current Employees and Contractors Apply Here
$29.6K - $38.1K
11% of jobs
$38.1K - $46.7K
9% of jobs
$49.6K is the 25th percentile. Wages below this are outliers.
$46.7K - $55.3K
15% of jobs
$55.3K - $63.9K
15% of jobs
The median wage is $64.1K / yr.
$63.9K - $72.5K
18% of jobs
$78.7K is the 75th percentile. Wages above this are outliers.
$72.5K - $81K
11% of jobs
$81K - $89.6K
7% of jobs
$89.6K - $98.2K
5% of jobs
$98.2K - $106.8K
4% of jobs
$106.8K - $115.4K
2% of jobs
$115.4K - $123.9K
3% of jobs
$29.6K
$69.9K
$123.9K
| Aspect | Finra Analyst | Compliance Analyst |
|---|---|---|
| Certifications | FINRA licenses, Series 7/63 | Certifications vary, often include FINRA licenses |
| Work Environment | Financial firms, brokerage firms | Financial institutions, corporations, regulatory agencies |
| Industry Usage | Used primarily in securities and brokerage firms | Used across various industries with regulatory requirements |
| Job Focus | Monitoring compliance with FINRA rules, regulatory reporting | Ensuring adherence to legal and regulatory standards |
Both Finra Analysts and Compliance Analysts work within regulatory frameworks in financial services. Finra Analysts specifically focus on FINRA rules and securities regulations, often requiring Series licenses. Compliance Analysts have a broader scope, ensuring overall adherence to legal standards across industries. While their roles overlap in regulatory compliance, Finra Analysts are more specialized in securities regulation and reporting.
$65K - $75K/yr
Full-time
Medical, Dental, Vision, Retirement
Posted 6 days ago
8.1
Based on 12 frontline employees who took The Breakroom Quiz
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:
Responsibilities:
Basic Requirements:
Preferred Requirements:
#LI-Remote
Current Employees and Contractors Apply Here
Sourced by ZipRecruiter
Finance and insurance
1,001 - 5,000 Employees
Phoenix, AZ, US
2016
