Note: The job is a remote job and is open to candidates in USA. Dexian is currently seeking a Sr. Branch Office Examiner in their Branch Exam department. This role involves overseeing and administering Branch Exams to Financial Advisors affiliated with Osaic Broker Dealers, ensuring compliance with applicable regulations.
Responsibilities
- Conduct approximately 85-100 exams per year either onsite or remotely, if applicable
- 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
- Perform 'for cause' exams as needed
- Mentor and train Junior team members
- All other duties as assigned
Skills
- High School diploma or equivalent required
- 3-5 years' experience as a Branch Examiner in the Independent Broker-Dealer Channel
- FINRA series 7 and 24 (or 9/10) 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
- Basic proficiency for information technology and skills used to communicate electronically, organize activities and analyze information
- Proficiency in MS Office
- Must be detail-oriented, investigative and the ability to work independently
- Bachelor's degree preferred
- Experience with Independent Broker-Dealers a plus
- FINRA Series 63 and/ or 66 preferred
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