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Finra Examiner Jobs (NOW HIRING)

Advisor Group Inc.

Branch Office Examiner

Scottsdale, AZ · On-site

$65 - $75/hr

FINRA Series24 license required to be obtained within 180 days of hire. * Knowledge of retail ... Branch Examiner experience. * FINRA Series24, Series65 and/or Series66 preferred. #J-18808-Ljbffr

Osaic

Branch Office Examiner

Oakdale, MN · On-site +1

$65K - $75K/yr

FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire ... Branch Examiner experience. * FINRA Series 24, FINRA Series 65 and/ or 66 preferred. #LI-Remote ...

Osaic

Branch Office Examiner

La Vista, NE · On-site

$65K - $75K/yr

FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire ... Branch Examiner experience. * FINRA Series 24, FINRA Series 65 and/ or 66 preferred. #LI-Remote ...

Osaic

Branch Office Examiner

Saint Petersburg, FL · On-site

$65K - $75K/yr

FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire ... Branch Examiner experience. * FINRA Series 24, FINRA Series 65 and/ or 66 preferred. #LI-Remote ...

Osaic

Branch Office Examiner

Scottsdale, AZ · On-site

$65K - $75K/yr

FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire ... Branch Examiner experience. * FINRA Series 24, FINRA Series 65 and/ or 66 preferred. #LI-Remote ...

Advisor Group

Branch Office Examiner

Scottsdale, AZ · On-site

$65K - $75K/yr

FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire ... Branch Examiner experience. * FINRA Series 24, FINRA Series 65 and/ or 66 preferred. #LI-Remote ...

Osaic

Branch Office Examiner

Scottsdale, AZ · On-site +1

$65K - $75K/yr

FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire ... Branch Examiner experience. * FINRA Series 24, FINRA Series 65 and/ or 66 preferred. #LI-Remote ...

Osaic

Branch Office Examiner

La Vista, NE · On-site +1

$65K - $75K/yr

FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire ... Branch Examiner experience. * FINRA Series 24, FINRA Series 65 and/ or 66 preferred. #LI-Remote ...

Osaic

Branch Office Examiner

Petersburg, VA · On-site +1

$65K - $75K/yr

FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire ... Branch Examiner experience. * FINRA Series 24, FINRA Series 65 and/ or 66 preferred. #LI-Remote ...

Osaic

Branch Office Examiner

Oakdale, MN · On-site

$65K - $75K/yr

FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire ... Branch Examiner experience. * FINRA Series 24, FINRA Series 65 and/ or 66 preferred. #LI-Remote ...

FINRA

Principal Analyst, Advertising Regulation

Boston, MA · Hybrid

$112K - $211K/yr

As needed, participates with other FINRA staff in on-site reviews and examinations and assists in all aspects of the disciplinary process. * Assists immediate manager in final sign-off of analyses to ...

FINRA

Principal Analyst, Advertising Regulation

Boston, MA · Hybrid

$112K - $211K/yr

As needed, participates with other FINRA staff in on-site reviews and examinations and assists in all aspects of the disciplinary process. * Assists immediate manager in final sign-off of analyses to ...

Osaic

Branch Office Examiner

La Vista, NE · On-site +1

$65K - $75K/yr

FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire ... Branch Examiner experience. * FINRA Series 24, FINRA Series 65 and/ or 66 preferred. #LI-Remote ...

Osaic

Branch Office Examiner

Saint Petersburg, FL · On-site +1

$65K - $75K/yr

FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire ... Branch Examiner experience. * FINRA Series 24, FINRA Series 65 and/ or 66 preferred. #LI-Remote ...

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Finra Examiner information

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$33.5K

$61.4K

$99K

How much do finra examiner jobs pay per year?

As of Sep 6, 2026, the average yearly pay for finra examiner in the United States is $61,362.00, according to ZipRecruiter salary data. Most workers in this role earn between $48,000.00 and $69,500.00 per year, depending on experience, location, and employer.

What is a Finra examiner?

A FINRA Examiner is responsible for overseeing and inspecting brokerage firms to ensure compliance with securities laws and regulations. They conduct routine and investigative examinations, analyze financial and operational data, and assess firms’ adherence to industry rules. Examiners help identify potential risks, enforce regulatory standards, and protect investors by ensuring fair market practices. The role requires financial expertise, analytical skills, and knowledge of FINRA and SEC regulations.

What does a typical workweek look like for a Finra examiner?

As a FINRA Examiner, your workweek generally consists of performing routine and risk-based examinations of member broker-dealer firms, analyzing financial records, and preparing detailed reports of findings. You will often work both independently and as part of a team, with tasks that may include on-site inspections, interviews with firm staff, and ongoing follow-ups. Collaboration with other examiners, legal experts, and regulatory staff is common, and you may have deadlines that require effective time management. While the job is primarily office-based, some travel may be necessary depending on exam assignments. This dynamic environment provides exposure to various financial practices and opportunities to develop regulatory expertise.

What are the key skills and qualifications needed to thrive in the Finra examiner position, and why are they important?

To thrive as a FINRA Examiner, you need a solid background in finance, accounting, or business, often supported by a bachelor’s degree and relevant industry experience. Familiarity with regulatory databases, financial analysis software, and knowledge of securities laws or professional certifications (such as CPA or CFA) is highly valued. Strong analytical thinking, effective written and verbal communication, and keen attention to detail are essential soft skills. These abilities enable examiners to thoroughly assess compliance, produce clear reports, and collaborate with member firms to uphold regulatory standards.

Does FINRA pay well?

Finra examiners typically earn a competitive salary that reflects their regulatory and compliance responsibilities, with entry-level positions starting around $60,000 to $80,000 annually. Experienced examiners or those with specialized skills can earn over $100,000, often supplemented by benefits and opportunities for career advancement.

What does a Finra Examiner do?

A Finra Examiner reviews brokerage firms and registered representatives to ensure compliance with industry rules and regulations. They conduct audits, investigate potential violations, and assess firms' adherence to financial and operational standards, often using regulatory tools and documentation. Their work helps maintain market integrity and investor protection.
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What are the most commonly searched types of Finra Examiner jobs?

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What states have the most Finra Examiner jobs?

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Finra Examiner jobs near you
Infographic showing various Finra Examiner job openings in the United States as of August 2026, with employment types broken down into 67% Full Time, and 33% Part Time. Highlights an 67% In-person, and 33% Remote job distribution, with an average salary of $61,362 per year, or $29.5 per hour.

Branch Office Examiner

Advisor Group Inc.

Scottsdale, AZ • On-site

$65 - $75/hr

Other

Medical, Dental, Vision, Retirement

Re-posted 14 days ago

Job description

Summary

Osaic is currently seeking a Branch Office Examiner in our Branch Exam department. This role administers branch exams to Financial Advisors affiliated with Osaic’s Broker Dealers, ensuring compliance with applicable regulations. Qualified remote applicants will be considered; the role is available for remote hire but requires a hybrid schedule of at least 4 days in the office each week, with travel up to 50% of the time for onsite examinations.

Location(s)
  • Atlanta: 2300 Windy Ridge Pkwy SE, Suite 750, Atlanta, GA 30339
  • La Vista: 12325 Port Grace Blvd, La Vista, NE 68128
  • Oakdale: 7755 3rd St. N, Oakdale, MN 55128
  • Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255
  • St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702
Compensation & Benefits

Salary ranges from $65,000 to $75,000 per year plus an annual bonus. Additional benefits include health, vision, dental insurance, a 401(k) plan, paid time away, volunteer days, and more. For full details see https://careers.osaic.com/Creative/Benefits.

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 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, 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 of independent Broker-Dealer experience.
  • FINRA Series7 license required.
  • FINRA Series24 license required to be obtained within 180 days of hire.
  • Knowledge of 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 communication skills.
  • Basic knowledge and understanding of the Firm’s and Regulatory Policies.
  • Basic proficiency in information technology and related skills for electronic communication, activity organization, and information analysis.
  • Detail-oriented, investigative, and able to work independently.
Preferred Requirements
  • Branch Examiner experience.
  • FINRA Series24, Series65 and/or Series66 preferred.
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About Advisor Group

Sourced by ZipRecruiter

Be a part of the team behind our success! At Advisor Group, we support financial professionals nationwide, 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.

Industry

Finance and insurance

Company size

1,001 - 5,000 Employees

Headquarters location

Phoenix, AZ, US

Year founded

1988

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