Advisorgroup

REMOTE Senior Branch Office Examiner

Atlanta, GA · Oakdale, MN · La Vista · Scottsdale, AZ · St. Petersburg

Get past the screening software and onto a recruiter's desk

hirly rewrites your resume for this job — matching the keywords and skills in the posting, moving your most relevant experience to the top, and writing a cover letter to fit. About 30 seconds.

Keywords matched to this posting
Fit score before you apply
Cover letter included

Tailor my resume for this job →

Apply from your AI assistant

Connect hirly to Claude and ask it to apply to this job. hirly tailors your resume, fills the employer’s form and asks before sending. ChatGPT: manual setup today.

See how it works

Some employer sites stop an application at a CAPTCHA or sign-in and hand it back with a link. Applying needs a paid plan. Works with any assistant that supports MCP.

hirly's read of this role

Seniority: Senior
Stated salary: $80,000 – $85,000 per year
Country: US
Work mode: Remote-friendly
First seen by hirly: 14 Oct 2026

Derived automatically from the posting. Upload your resume above to see how the role scores against it.

the posting

Current Employees and Contractors Apply Here

Osaic Careers

REMOTE Compliance Risk Opportunity in Financial Services

Senior Branch Office Examiner

Location(s): Open to Qualified Remote Applicants in the United States

Role Type: Full-time

Salary: $80,000 - $85,000 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 Sr. 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 Broker Dealers. 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 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 experience will be considered in lieu of degree.

Minimum of high school diploma or equivalent is required.

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.

Mentor junior team members.

Basic Requirements:

5+ years-experience in Compliance or Branch Exams.

FINRA Series 7 and Series 24 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.

Proficient with Windows and MS applications such as Word, Excel, PowerPoint, and Outlook

Must be detail-oriented, investigative and the ability to work independently.

Preferred Requirements:

Experience with Independent Broker-Dealer

FINRA Series 66

Current Employees and Contractors Apply Here

Original posting on Advisorgroup's site ↗

Listed on hirly, a job board. hirly is not the employer: Advisorgroup is hiring for this role.