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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

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