Compliance Risk Opportunity in Financial Services
Senior Branch Office Examiner
Location: Accepting qualified candidates in all locations & remote
Advisor Group is currently seeking a Senior 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 Advisor Group Broker Dealers. Our employees are the "how" and the "why" of Advisor Group's success. This position is responsible for administering Branch Exams to Financial Advisors affiliated with Advisor Group Broker Dealers. The Sr. 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.
- 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.
- Mentor Junior team members
- All other duties as assigned
- 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.
- 5+ 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
- Experience with Independent Broker-Dealers a plus.
- FINRA Series 66 preferred.