Note: The job is a remote job and is open to candidates in USA. Dexian is a leading provider of staffing, IT, and workforce solutions with over 12,000 employees and 70 locations worldwide. This position is responsible for administering Branch Exams to Financial Advisors affiliated with Broker Dealers, which involves independently inspecting and evaluating branch activities to assess and monitor compliance with applicable regulations.ResponsibilitiesConduct approximately 85-100 exams per year either onsite or remotely, if applicableSchedule and discuss exam expectations with the OSJ and Satellite branchesPrepare for each exam by generating and analyzing various reportsReview exam findings with OSJ and Satellite Branch ManagersSend exam reports to OSJ and Satellite Branch Managers, Supervision and Compliance departments in a timely mannerSkills3-5 years’ experience as a Branch Examiner in the Independent Broker-Dealer ChannelFINRA series 7 and 24 (or 9/10) licenses are requiredFINRA Series 63 and/ or 66 preferredExperience with Independent Broker-Dealers a plusCompany OverviewDexian provides services for staffing, talent development, and consulting, with a focus on technology, finance, and project management. It was founded in 1994, and is headquartered in Mclean, Virginia, USA, with a workforce of 1001-5000 employees. Its website is https://dexian.com.
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