Branch Office Examiner

Compliance Risk Opportunity in Financial Services

Branch Office Examiner


Accepting qualified candidates in all locations & 100% remote

Summary:

Advisor Group is currently seeking a Branch Office Examiner in our Branch Exam department. Our employees are the “how” and the “why” of Advisor Group’s success.  This Branch Examiner position is responsible for administering the Branch Exams to Financial Advisors affiliated with Advisor Group Broker Dealers.  Our Branch Examiners independently inspect and evaluate branch activities to assess and/or monitor compliance of applicable regulations and to ensure adherence to compliance of all applicable regulations. 

Responsibilities:

  • Conduct approximately 100-120 exams per year either onsite or remotely.
  • Travel independently up to 25% of the time when needed 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.
  • 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, Series 24 and Series 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 the ability to work independently.
  • Ability to provide and receive constructive and positive feedback

Preferred Requirements:

  • Experience with Independent Broker-Dealers a plus.
  • FINRA Series 66 preferred.
Be A Part Of The Team Behind Our Success!

At Advisor Group, we support financial professionals across the nation, 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.

Equal Opportunity Employer

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Eligibility

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Unqualified Applications

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Recruiting Agencies

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.