StPetersburgRecruiter
the smart solution for St. Petersburg jobs

Branch Office Examiner

Company: Advisor Group
Location: Saint Petersburg
Posted on: January 15, 2019

Job Description:

Be a part of the team behind our success! At Advisor Group, we support more than 5,000 financial advisors, the people who help everyday Americans achieve their dreams. Were a billion-dollar business with the mentality and drive of a startup. Join us in building something special. Compliance Opportunity in Financial Services Branch Office Examiner Location: 20 E Thomas Rd Suite 2000 Phoenix, AZ 85012 7755 Third St. North Oakdale, MN 55128 2300 Windy Ridge Parkway #750 Atlanta, GA 30339 877 Executive Center Drive West, Suite 300 St. Petersburg, FL 33702 Summary: Advisor Group is currently looking to hire a Branch Examiner within the Compliance Department. The Branch Office Examiner is responsible for administering Branch Exams to Financial Advisors affiliated with Advisor Group Broker Dealers. The branch exams are 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. Keys: compliance, branch exams, audit Responsibilities:

  • Conduct approximately 100-120 exams per year.
  • Travel independently 50% of the time.
  • 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:
    • Bachelors 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, 24 and 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 have the ability to work independently.
      • Must have the ability to: Travel via automobile, train, and/or airplane to visit branch offices throughout the United States in business attire throughout the year; Carry luggage, a briefcase and a company furnished laptop. Preferred Requirements:
        • Experience with Independent Broker-Dealers a plus.
        • Knowledge of Vision2020, Sunguard, and NetX360 a plus.

          Keywords: Advisor Group, St. Petersburg , Branch Office Examiner, Administration, Clerical , Saint Petersburg, Florida

          Click here to apply!

          Didn't find what you're looking for? Search again!

          I'm looking for
          in category
          within


Other Administration, Clerical Jobs


Data Entry Operator - Work From Home
Description: DESCRIPTION We are seeking data entry operators to enter in transportation reservation bookings into our client database software program. We will train
Company: Mommy Jobs Online
Location: Apopka
Posted on: 01/21/2019

$16-$35+/Hour Receptionist Jobs Hiring: (Positions Open)
Description: Easy Apply,
Company: Receptionist.FindDreamJobs.com
Location: Astatula
Posted on: 01/22/2019

Data Entry Compiler - Work From Home
Description: Shasmi Beauty is looking for a Data Entry Compiler to update and enter information into spreadsheets for our company databases and computer systems. Data entry operator responsibilities include collecting (more...)
Company: Mommy Jobs Online
Location: Oviedo
Posted on: 01/21/2019


Pega Admin
Description: Hi, Role: Pega AdminDuration: C2C/C2H/FulltimeLocation: Tampa, FLJob Description: li Knowledge on Overall Pega System li Knowledge on deployment for Pega
Company: ITBMS Inc.
Location: Tampa
Posted on: 01/22/2019

$16-$35+/Hour Admin Assistant Jobs Hiring: (Positions Open)
Description: Easy Apply, Immediate
Company: AdminAssistant.FindDreamJobs.com
Location: Port Charlotte
Posted on: 01/22/2019

$16-$35+/Hour Admin Assistant Jobs Hiring: (Positions Open)
Description: Easy Apply, Immediate
Company: AdminAssistant.FindDreamJobs.com
Location: Winter Garden
Posted on: 01/21/2019

Virtual Receptionist (Many Openings)
Description: Virtual Receptionist Needed Many Openings Our clients are busy, small business owners who hire us to handle their phone calls and treat their customers the way they would. Our job is to answer those (more...)
Company: Mommy Jobs On Line
Location: Orlando
Posted on: 01/22/2019

Healthcare home office
Description: 23 year old consumer driven health benefits company with an A rating with the BBB is looking for consultants
Company: Health Options 16
Location: Apopka
Posted on: 01/21/2019

Virtual Receptionist
Description: You 039 ll be answering incoming calls from busy women who need to set up appointments for services at the nation 039 s premier chain of blow dry bars. The client is looking for energetic,
Company: Mommy Jobs Online
Location: Winter Springs
Posted on: 01/21/2019

Administrative Assistant - Orlando World Center Marriott (180033CH)
Description: Heres To Your Journey with 0 Marriott International portfolio of brands includes both JW Marriott and Marriott Hotels. Marriott Hotels, Marriott Internationals flagship brand with more than 500 global (more...)
Company: Marriott International
Location: Lakeland
Posted on: 01/22/2019

Log In or Create An Account

Get the latest Florida jobs by following @recnetFL on Twitter!

St. Petersburg RSS job feeds