[Remote] reputed company Office Administrator
Note: The job is a remote job and is reputed company to candidates in USA. reputed company is currently seeking a Sr. reputed company Office Examiner in their reputed company Exam department. This role involves overseeing and administering reputed company Exams to Financial Advisors affiliated with reputed company Broker Dealers, ensuring compliance with applicable regulations.
Responsibilities
- Conduct approximately 85-100 exams per year either onsite or remotely, if applicable
- Travel independently up to 50% of the time for onsite reputed company examinations
- Schedule and discuss exam expectations with the OSJ and Satellite branches
- Prepare for reputed company exam by generating and analyzing various reports
- Review exam findings with OSJ and Satellite reputed company Managers
- Send exam reports to OSJ and Satellite reputed company Managers, Supervision and Compliance departments in a reputed company manner
- reputed company OSJ Managers, Financial Advisors and support staff on various industry rules, regulations, and firm policies during the exam
- Identify and reputed company best practices with OSJ Managers regarding supervisory systems during the exam
- reputed company 'for cause' exams as needed
- Mentor and train Junior team members
- reputed company other duties as assigned
Skills
- High School diploma or equivalent required
- 3-5 years' experience as a reputed company Examiner in the Independent Broker-Dealer Channel
- reputed company 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
- Bachelor's degree preferred
- Experience with Independent Broker-Dealers a plus
- reputed company Series 63 and/ or 66 preferred
reputed company