Oakdale, MN · On-site +1
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Oakdale, MN · On-site +1
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Saint Petersburg, FL · On-site
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Saint Petersburg, FL · On-site
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
La Vista, NE · On-site
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
La Vista, NE · On-site
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Scottsdale, AZ · On-site
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Scottsdale, AZ · On-site
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Scottsdale, AZ · On-site
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Scottsdale, AZ · On-site
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Scottsdale, AZ · On-site +1
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Scottsdale, AZ · On-site +1
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
La Vista, NE · On-site +1
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
La Vista, NE · On-site +1
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Petersburg, VA · On-site +1
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Petersburg, VA · On-site +1
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Oakdale, MN · On-site
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Oakdale, MN · On-site
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Scottsdale, AZ · On-site +1
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Scottsdale, AZ · On-site +1
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
La Vista, NE · On-site +1
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
La Vista, NE · On-site +1
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Saint Petersburg, FL · On-site +1
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Saint Petersburg, FL · On-site +1
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
La Vista, NE · On-site +1
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
La Vista, NE · On-site +1
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Oakdale, MN · On-site +1
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Oakdale, MN · On-site +1
$65K - $75K/yr
Additional benefits include health, vision, dental insurance, 401k, paid time away, volunteer days ... FINRA series 7 license is required. Series 24 is required to be obtained within 180 days of hire.
Effective July 1, 2024, FINRA Rule 3110.18 established a voluntary, three-year remote inspections ... Manage multiple examinations and projects simultaneously. * Present and articulate examination ...
Effective July 1, 2024, FINRA Rule 3110.18 established a voluntary, three-year remote inspections ... Manage multiple examinations and projects simultaneously. * Present and articulate examination ...
Effective July 1, 2024, FINRA Rule 3110.18 established a voluntary, three-year remote inspections ... Manage multiple examinations and projects simultaneously. * Present and articulate examination ...
Effective July 1, 2024, FINRA Rule 3110.18 established a voluntary, three-year remote inspections ... Manage multiple examinations and projects simultaneously. * Present and articulate examination ...
Saint Petersburg, FL · On-site
$115K - $140K/yr
Ensure all documentation is "audit-ready" for FINRA examinations and SEC inquiries. * Business ... sick time, volunteer days and company holidays. * Wellness & Pet Care : Fitness and wellness ...
Saint Petersburg, FL · On-site
$115K - $140K/yr
Ensure all documentation is "audit-ready" for FINRA examinations and SEC inquiries. * Business ... sick time, volunteer days and company holidays. * Wellness & Pet Care : Fitness and wellness ...
Raleigh, NC · On-site
Experience supporting FINRA member firms. * Experience managing regulatory examinations and ... and voluntary supplemental plans subject to plan terms. * Company-paid benefits such as life ...
Raleigh, NC · On-site
Experience supporting FINRA member firms. * Experience managing regulatory examinations and ... and voluntary supplemental plans subject to plan terms. * Company-paid benefits such as life ...
Experience supporting FINRA member firms. * Experience managing regulatory examinations and ... and voluntary supplemental plans subject to plan terms. * Company-paid benefits such as life ...
Experience supporting FINRA member firms. * Experience managing regulatory examinations and ... and voluntary supplemental plans subject to plan terms. * Company-paid benefits such as life ...
... regulatory examinations. * Collaborate with various departments within the firm to reconcile ... Volunteer Time Off * Paid Leave: Parental Bonding, Jury Duty, Military, Disability, etc. * FINRA ...
New
... regulatory examinations. * Collaborate with various departments within the firm to reconcile ... Volunteer Time Off * Paid Leave: Parental Bonding, Jury Duty, Military, Disability, etc. * FINRA ...
New
$33.5K - $39.5K
6% of jobs
$39.5K - $45.4K
13% of jobs
$47.9K is the 25th percentile. Wages below this are outliers.
$45.4K - $51.4K
15% of jobs
The median wage is $55.6K / yr.
$51.4K - $57.3K
23% of jobs
$57.3K - $63.3K
18% of jobs
$63.6K is the 75th percentile. Wages above this are outliers.
$63.3K - $69.2K
4% of jobs
$69.2K - $75.2K
5% of jobs
$75.2K - $81.1K
5% of jobs
$81.1K - $87.1K
4% of jobs
$87.1K - $93K
4% of jobs
$93K - $99K
2% of jobs
$33.5K
$61.4K
$99K
$65K - $75K/yr
Full-time
Medical, Dental, Vision, Retirement
Re-posted 18 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
