Remote Branch Compliance Examiner
Remote / Online - Candidates ideally in
La Vista, Sarpy County, Nebraska, 68128, USA
Listed on 2026-07-13
La Vista, Sarpy County, Nebraska, 68128, USA
Listing for:
Advisor Group
Remote/Work from Home
position Listed on 2026-07-13
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Compliance
Job Description & How to Apply Below
Osaic is seeking a Branch Office Examiner for the Branch Exam department. The role involves administering Branch Exams to Financial Advisors affiliated with Osaic’s Broker Dealers, inspecting branch activities for regulatory compliance and adherence to applicable regulations.
Expected travel up to 50% for onsite exams and 3+ years of Broker-Dealer experience are required. A Series 7 license is mandatory, with Series 24 to be obtained within 180 days of hire.
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