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Finra Examiner Jobs (NOW HIRING)

Osaic

Senior Branch Office Examiner

Oakdale, MN · Remote

$80K - $85K/yr

Summary: Osaic is currently seeking a Sr. Branch Office Examiner in our Branch Exam department ... FINRA series 7 and 24 (or 9/10) licenses are required. * Knowledge of the retail brokerage business ...

Osaic

Senior Branch Office Examiner

Petersburg, VA · Remote

$80K - $85K/yr

Summary: Osaic is currently seeking a Sr. Branch Office Examiner in our Branch Exam department ... FINRA series 7 and 24 (or 9/10) licenses are required. * Knowledge of the retail brokerage business ...

Osaic

Senior Branch Office Examiner

Oakdale, MN · Remote

$80K - $85K/yr

Summary: Osaic is currently seeking a Sr. Branch Office Examiner in our Branch Exam department ... FINRA series 7 and 24 (or 9/10) licenses are required. * Knowledge of the retail brokerage business ...

Osaic

Senior Branch Office Examiner

Scottsdale, AZ · Remote

$80K - $85K/yr

Summary: Osaic is currently seeking a Sr. Branch Office Examiner in our Branch Exam department ... FINRA series 7 and 24 (or 9/10) licenses are required. * Knowledge of the retail brokerage business ...

Advisor Group

Senior Branch Office Examiner

Scottsdale, AZ · On-site

$80K - $85K/yr

Summary: Osaic is currently seeking a Sr. Branch Office Examiner in our Branch Exam department ... FINRA series 7 and 24 (or 9/10) licenses are required. * Knowledge of the retail brokerage business ...

Osaic

Senior Branch Office Examiner

Saint Petersburg, FL · Remote

$80K - $85K/yr

Summary: Osaic is currently seeking a Sr. Branch Office Examiner in our Branch Exam department ... FINRA series 7 and 24 (or 9/10) licenses are required. * Knowledge of the retail brokerage business ...

FINRA

Senior Cyber Engagements Lead

Washington, DC · On-site

At FINRA, you'll join a team of dedicated professionals committed to safeguarding the financial ... Drive Complex Examinations & Reviews : Independently lead examinations and risk reviews of the ...

FINRA

Senior Cyber Engagements Lead

Los Angeles, CA · On-site

At FINRA, you'll join a team of dedicated professionals committed to safeguarding the financial ... Drive Complex Examinations & Reviews : Independently lead examinations and risk reviews of the ...

FINRA

Senior Cyber Engagements Lead

Boca Raton, FL

At FINRA, you'll join a team of dedicated professionals committed to safeguarding the financial ... Drive Complex Examinations & Reviews : Independently lead examinations and risk reviews of the ...

FINRA

Senior Cyber Engagements Lead

Jersey City, NJ · On-site

At FINRA, you'll join a team of dedicated professionals committed to safeguarding the financial ... Drive Complex Examinations & Reviews : Independently lead examinations and risk reviews of the ...

FINRA

Senior Cyber Engagements Lead

Dallas, TX · On-site

At FINRA, you'll join a team of dedicated professionals committed to safeguarding the financial ... Drive Complex Examinations & Reviews : Independently lead examinations and risk reviews of the ...

FINRA

Senior Cyber Engagements Lead

Boston, MA · On-site

At FINRA, you'll join a team of dedicated professionals committed to safeguarding the financial ... Drive Complex Examinations & Reviews : Independently lead examinations and risk reviews of the ...

FINRA

Senior Cyber Engagements Lead

Rockville, MD · On-site

At FINRA, you'll join a team of dedicated professionals committed to safeguarding the financial ... Drive Complex Examinations & Reviews : Independently lead examinations and risk reviews of the ...

FINRA

Senior Cyber Engagements Lead

San Francisco, CA · On-site

At FINRA, you'll join a team of dedicated professionals committed to safeguarding the financial ... Drive Complex Examinations & Reviews : Independently lead examinations and risk reviews of the ...

FINRA

Senior Cyber Engagements Lead

Philadelphia, PA · On-site

At FINRA, you'll join a team of dedicated professionals committed to safeguarding the financial ... Drive Complex Examinations & Reviews : Independently lead examinations and risk reviews of the ...

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How much do finra examiner jobs pay per year?

As of Jun 8, 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 job?

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.

Is working for FINRA a good career?

A career as a FINRA Examiner offers stability, a structured work environment, and opportunities to ensure compliance within the financial industry. It typically requires knowledge of securities regulations and may involve regular inspections, reporting, and certification requirements. Many find it a rewarding role for those interested in finance regulation and oversight.
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Finra Examiner jobs near you
Infographic showing various Finra Examiner job openings in the United States as of May 2026, with employment types broken down into 93% Full Time, 6% Part Time, and 1% Contract. Highlights an 87% Physical, 4% Hybrid, and 9% Remote job distribution, with an average salary of $61,362 per year, or $29.5 per hour.

Senior Branch Office Examiner

Osaic

Oakdale, MN • Remote

$80K - $85K/yr

Other

Medical, Dental, Vision, Retirement

Posted 14 days ago

Osaic rating

8.2

Company rating: 8.2 out of 10

Based on 8 frontline employees who took The Breakroom Quiz

Job description

Current Employees and Contractors Apply HereOsaic Careers

REMOTE Compliance Risk Opportunity in Financial Services

Senior Branch Office Examiner

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

Role Type:Full-time

Salary: $80,000 - $85,000 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 Sr. 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 Broker Dealers. 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 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:

  • High School diploma or equivalent required
  • Bachelor's degree preferred.

Responsibilities:

  • Conduct approximately 85-100 exams per year either onsite or remotely, if applicable.
  • 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.
  • Perform "for cause" exams as needed.
  • Mentor and train Junior team members.
  • All other duties as assigned

Basic Requirements:

  • 3-5 years' experience as a Branch Examiner in the Independent Broker-Dealer Channel.
  • FINRA series 7 and 24 (or 9/10) 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.
  • Basic proficiency for information technology and skills used to communicate electronically, organize activities and analyze information. Proficiency in MS Office.
  • Must be detail-oriented, investigative and the ability to work independently.

Preferred Requirements:

  • Experience with Independent Broker-Dealers a plus.
  • FINRA Series 63 and/ or 66 preferred.

#LI-Remote

Current Employees and Contractors Apply Here

About Osaic

Sourced by ZipRecruiter

Industry

Finance and insurance

Company size

1,001 - 5,000 Employees

Headquarters location

Phoenix, AZ, US

Year founded

2016

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