Job Title: Senior Branch Office Examiner
Location: Remote
Duration: Full Time (Permanent, Remote)
Salary Range : $75000 to $85000
Job Summary
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.
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.
Requirements
- High School diploma or equivalent required.
- Bachelor’s degree preferred.
- 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.
- Experience with Independent Broker-Dealers a plus.
- FINRA Series 63 and/ or 66 preferred.
Thanks,
Dexian is a leading provider of staffing, IT, and workforce solutions with over 12,000 employees and 70 locations worldwide. As one of the largest IT staffing companies and the 2nd largest minority-owned staffing company in the U.S., Dexian was formed in 2023 through the merger of DISYS and Signature Consultants. Combining the best elements of its core companies, Dexian's platform connects talent, technology, and organizations to produce game-changing results that help everyone achieve their ambitions and goals.
Dexian's brands include Dexian DISYS, Dexian Signature Consultants, Dexian Government Solutions, Dexian Talent Development and Dexian IT Solutions. Visit https://dexian.com/ to learn more.
Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status..
Pay: $75,000.00 - $85,000.00 per year
Work Location: Remote
