Scottsdale, AZ · Hybrid
$65K - $75K/yr
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 ...
Scottsdale, AZ · Hybrid
$65K - $75K/yr
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 ...
Birmingham, AL · On-site
$50K - $150K/yr
Highland Capital Brokerage, a member company of Osaic, offers an unparalleled national team dedicated to supporting financial advisors who want to provide their clients with best-in-class life ...
Birmingham, AL · On-site
$50K - $150K/yr
Highland Capital Brokerage, a member company of Osaic, offers an unparalleled national team dedicated to supporting financial advisors who want to provide their clients with best-in-class life ...
Birmingham, AL · On-site +1
$50K - $150K/yr
Highland Capital Brokerage, a member company of Osaic, offers an unparalleled national team dedicated to supporting financial advisors who want to provide their clients with best-in-class life ...
Birmingham, AL · On-site +1
$50K - $150K/yr
Highland Capital Brokerage, a member company of Osaic, offers an unparalleled national team dedicated to supporting financial advisors who want to provide their clients with best-in-class life ...
Atlanta, GA · On-site
$65K - $75K/yr
Production Support Specialist will be a member of IA Platform Production Support Team, a group of ... advisors are aware. Responsible to provide release notes and training to all key stakeholders ...
Atlanta, GA · On-site
$65K - $75K/yr
Production Support Specialist will be a member of IA Platform Production Support Team, a group of ... advisors are aware. Responsible to provide release notes and training to all key stakeholders ...
Scottsdale, AZ · On-site
$160K - $185K/yr
Current Employees and Contractors Apply Here Osaic Careers Business Development, Advisor Acquisition Opportunity SVP, Business Development Location(s): 2300 Windy Ridge Parkway, Atlanta, GA 30339 877 ...
Scottsdale, AZ · On-site
$160K - $185K/yr
Current Employees and Contractors Apply Here Osaic Careers Business Development, Advisor Acquisition Opportunity SVP, Business Development Location(s): 2300 Windy Ridge Parkway, Atlanta, GA 30339 877 ...
Scottsdale, AZ · Hybrid
$43K - $48K/yr
Interact with financial advisors, clearing firms, custodians, and other external partners on routine and complex account transfer requests. * Provide timely and accurate status updates within contact ...
Scottsdale, AZ · Hybrid
$43K - $48K/yr
Interact with financial advisors, clearing firms, custodians, and other external partners on routine and complex account transfer requests. * Provide timely and accurate status updates within contact ...
Scottsdale, AZ · Hybrid
$80K - $86K/yr
Maintains an ongoing positive relationship with Financial Professionals, OSJ Branch Managers and support staff in collaboration with the SRVP, Compliance, and Advisor Engagement. * Engage in ...
Scottsdale, AZ · Hybrid
$80K - $86K/yr
Maintains an ongoing positive relationship with Financial Professionals, OSJ Branch Managers and support staff in collaboration with the SRVP, Compliance, and Advisor Engagement. * Engage in ...
Birmingham, AL · On-site
$50K - $150K/yr
Highland Capital Brokerage, a member company of Osaic, offers an unparalleled national team dedicated to supporting financial advisors who want to provide their clients with best-in-class life ...
Birmingham, AL · On-site
$50K - $150K/yr
Highland Capital Brokerage, a member company of Osaic, offers an unparalleled national team dedicated to supporting financial advisors who want to provide their clients with best-in-class life ...
Scottsdale, AZ · On-site
$43K - $48K/yr
Interact with financial advisors, clearing firms, custodians, and other external partners on routine and complex account transfer requests. * Provide timely and accurate status updates within contact ...
Scottsdale, AZ · On-site
$43K - $48K/yr
Interact with financial advisors, clearing firms, custodians, and other external partners on routine and complex account transfer requests. * Provide timely and accurate status updates within contact ...
Scottsdale, AZ · On-site
$80K - $86K/yr
Maintains an ongoing positive relationship with Financial Professionals, OSJ Branch Managers and support staff in collaboration with the SRVP, Compliance, and Advisor Engagement. * Engage in ...
Scottsdale, AZ · On-site
$80K - $86K/yr
Maintains an ongoing positive relationship with Financial Professionals, OSJ Branch Managers and support staff in collaboration with the SRVP, Compliance, and Advisor Engagement. * Engage in ...
Scottsdale, AZ · Hybrid
$150K - $170K/yr
Oversee system design, development, deployment, and maintenance of core advisor facing applications. Leads multiple teams within and outside the US. * Collaborate with peers in Product, Technology ...
Scottsdale, AZ · Hybrid
$150K - $170K/yr
Oversee system design, development, deployment, and maintenance of core advisor facing applications. Leads multiple teams within and outside the US. * Collaborate with peers in Product, Technology ...
Scottsdale, AZ · On-site
$55K - $63K/yr
The Compliance Analyst plays a critical role in safeguarding the integrity of Osaic's financial services operations by monitoring advisor activity and identifying potential compliance risks. This ...
Scottsdale, AZ · On-site
$55K - $63K/yr
The Compliance Analyst plays a critical role in safeguarding the integrity of Osaic's financial services operations by monitoring advisor activity and identifying potential compliance risks. This ...
Birmingham, AL · On-site +1
$75K - $150K/yr
We go above and beyond when it comes to supporting financial advisors who want to provide their clients with the best-in-class life, annuity, and longevity planning. Are you ready to elevate your ...
Birmingham, AL · On-site +1
$75K - $150K/yr
We go above and beyond when it comes to supporting financial advisors who want to provide their clients with the best-in-class life, annuity, and longevity planning. Are you ready to elevate your ...
La Vista, NE · On-site
$82K/yr
Configuring roles and features such as Active Directory Domain Services (AD DS), DNS, DHCP, and Group Policy. * Applying CIS benchmarks or similar standards. * Implement and develop new tools and ...
La Vista, NE · On-site
$82K/yr
Configuring roles and features such as Active Directory Domain Services (AD DS), DNS, DHCP, and Group Policy. * Applying CIS benchmarks or similar standards. * Implement and develop new tools and ...
Scottsdale, AZ · Hybrid
$43K - $48K/yr
Interact with financial advisors, clearing firms, custodians, and other external partners on routine and complex account transfer requests. * Provide timely and accurate status updates within contact ...
Scottsdale, AZ · Hybrid
$43K - $48K/yr
Interact with financial advisors, clearing firms, custodians, and other external partners on routine and complex account transfer requests. * Provide timely and accurate status updates within contact ...
La Vista, NE · On-site
$82K/yr
Configuring roles and features such as Active Directory Domain Services (AD DS), DNS, DHCP, and Group Policy. * Applying CIS benchmarks or similar standards. * Implement and develop new tools and ...
La Vista, NE · On-site
$82K/yr
Configuring roles and features such as Active Directory Domain Services (AD DS), DNS, DHCP, and Group Policy. * Applying CIS benchmarks or similar standards. * Implement and develop new tools and ...
Scottsdale, AZ · On-site
$100K - $125K/yr
Serve as a trusted advisor to HR Business Partners and business leaders on offers, promotions, market adjustments, and pay decisions * Provide practical, data-informed recommendations in a fast ...
Scottsdale, AZ · On-site
$100K - $125K/yr
Serve as a trusted advisor to HR Business Partners and business leaders on offers, promotions, market adjustments, and pay decisions * Provide practical, data-informed recommendations in a fast ...
Birmingham, AL · On-site
$150K - $175K/yr
Create and distribute both recurring and ad hoc internal communications to internal partners, summarizing project updates, progress, and the impact on advisors. * Stakeholder Communication: Serve as ...
Birmingham, AL · On-site
$150K - $175K/yr
Create and distribute both recurring and ad hoc internal communications to internal partners, summarizing project updates, progress, and the impact on advisors. * Stakeholder Communication: Serve as ...
Scottsdale, AZ · On-site
$90K - $100K/yr
Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 Securities Act of 1933, Securities Act of 1934 and FINRA rules and Regulations * Excellent verbal and written ...
Scottsdale, AZ · On-site
$90K - $100K/yr
Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 Securities Act of 1933, Securities Act of 1934 and FINRA rules and Regulations * Excellent verbal and written ...
Scottsdale, AZ · On-site
$220K - $250K/yr
This executive will serve as a trusted advisor to the CFO and Executive Leadership Team, driving financial insight, operational efficiency, and long-range planning to support Osaic's continued growth ...
Scottsdale, AZ · On-site
$220K - $250K/yr
This executive will serve as a trusted advisor to the CFO and Executive Leadership Team, driving financial insight, operational efficiency, and long-range planning to support Osaic's continued growth ...
$65K - $75K/yr
Full-time
Medical, Dental, Vision, Retirement
Posted 3 days ago
REMOTE Compliance Risk Opportunity in Financial Services
Branch Office Examiner
Location(s):
Open to Remote Applicants & Hub Locations
Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, 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
Qualified remote applicants will be considered for this role.
Osaic has returned to the office on a hybrid schedule requiring a minimum of 4 days weekly in the office. Due to the travel requirements for this role, applicants are able to be hired remotely.
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
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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.
Finance and insurance
1,001 - 5,000 Employees
Phoenix, AZ, US
1988