Remote Branch Compliance Examiner
La Vista, Sarpy County, Nebraska, 68128, USA
Listed on 2026-10-06
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Finance & Banking
Regulatory Compliance Specialist, Financial Compliance, Banking & Finance
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.
Consider building your career as a Remote Branch Compliance Examiner at Advisor Group.
We invite applications for the Remote Branch Compliance Examiner position located in La Vista, NE, United States.
The following position is for a Remote Branch Compliance Examiner with Advisor Group.
Our group is growing, and we are hiring a Remote Branch Compliance Examiner in La Vista, NE, United States.
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