Branch Office Examiner

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Compliance Risk Opportunity in Financial Services

Branch Office Examiner


Location:         

877 Executive Center Drive West, St. Petersburg, FL 33702

20 E Thomas Road, Phoenix, AZ  85012

2300 Windy Ridge Parkway, Atlanta, GA  30339 

7755 Third Street North, Oakdale, MN  55128

This position is also open to remote applicants

Summary:

Advisor Group is currently looking to hire a Branch Examiner within the Compliance Department.  The Branch Examiner is responsible for administering Branch Exams to Financial Advisors affiliated with Advisor Group Broker Dealers.  The branch exams are 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.

Keys:    compliance, branch exams, audit    

Responsibilities:

  • Conduct approximately 100-120 exams per year.
  • Travel independently 50% of the time.
  • 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.
  • Assist in the training of new examiners.
  • Perform for cause exams as needed.
  • All other duties as assigned

Education Requirements:

  • Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required. 

Basic Requirements:

  • 3+ years’ experience in Compliance or Branch Exams.
  • FINRA series 7, 24 and 63 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.
  • Ability to interpret the Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation.
  • Proficiency in MS Office.
  • Must be detail-oriented, investigative and have the ability to work independently.
  • Must have the ability to: travel via automobile, train, and/or airplane to visit branch offices throughout the United States in business attire throughout the year; carry luggage, a briefcase and a company furnished laptop.

Preferred Requirements:

  • Experience with Independent Broker-Dealers a plus.
  • Knowledge of Vision2020, Sunguard, and NetX360 a plus.