Advanced Search


Start New Search:

series 24
branch office administrator
alternative investments
peer mentor
total loss
series 63
spot on
compliance specialist
life insurance agent
broker dealer
series 7
regional manager
client experience

Branch Office Examiner

Share Job
Suggest Revision
Securian FinancialSt Paul, MN
  • Securian Financial Groups internal position title is Compliance Sr AnalystPosition Summary:Branch Office Examiners will visit Securian Financial Services ("SFS") field offices to ensure our advisors are compliant with relevant policies and procedures.
  • Utilize their knowledge of relevant regulations (i.e., FINRA, SEC, MSRB, and state) and company policies and procedures in order to help address supervisory issues and discrepancies as necessary to assure compliance with applicable regulations.
  • Utilize knowledge of products and services distributed by the SFS field force.
  • This knowledge will help the Branch Office Examiner serve as a resource to answer compliance questions and provide best practices regarding issues that are identified during the course of an audit.
  • Perform thorough review of advisor and office working and official files.
  • Branch Office Examiners will also conduct a physical inspection of advisor office space and computers.
  • Branch Office Examiners must clearly articulate deficiencies and potential solutions to audited individuals and management personnel.
  • Responsible for completing various other compliance tasks.
  • This include creating and updating various annual requirements for SFS registered representatives, assisting with annual check blotter review, and conducting CEO Certification and IA Annual Review Testing.
  • Perform and document compliance testing of adherence to firm policies and procedures relating to advisor and broker-dealer activities
  • Complete detailed testing of policies, procedures and processes using test work-papers and other tools to compare sample date with related requirements.
  • Assume responsibility for planning, scoping and developing test plans using resources effectively to complete assignments with time goals.
  • Make appropriate recommendations and risk ratings of issues and findings during the test process.
  • Possess an inquisitive and analytical mind to conduct thorough inspection of assigned offices.
  • Possess good communication skills to articulate issues and educate financial professionals and staff regarding compliance procedures and best practices.
  • Be able to travel 30-40% of the time between March 1st and October 31st to conduct branch office inspections across the country.
  • Strong organization skills to manage individual workload while ensuring team produces consistent and timely audits.
  • Ability to learn and adapt to new technologies to perform compliance oversight functions.
  • Strong critical thinking and decision making and problem solving abilities to find solutions for issues which may arise while performing duties.
  • Must have 7, 24, and 66 (or 63/65).
  • If you don't have these we will provide 6 months to get 7 and 24 and an additional 3 months for 66 (or 63/65).
  • Knowledge of Microsoft applications, e.g., Outlook, Access, Word, and Excel.
  • Knowledge of SFS policies and procedures and back office units.
  • Series 7 and 24 FINRA registrations.
  • Ability to work at least 40 hours per week
  • Ability to meet the physical demands of travel - comprises up to 30-40% of your time.
  • Ability to utilize keyboard, mouse and computer for up to 3-6 hours per day
  • Ability to utilize telephone for approximately 1-3 hours per day
  • Ability to perform simple grasping including handwriting, paper manipulation, sorting, folding, etc.
  • periodically throughout entire workdayThe physical job requirements described above are representative of those that must be met by an employee to successfully perform the essential functions of this job.
  • Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
  • Securian Financial has been around for 140 years.
  • We're committed to giving back to our community, donating 15,000 employee volunteer hours this past year.
  • We also provide extensive resources to our employees for professional development and growth and a number of diverse professional and social opportunities throughout the company.
  • There's a reason our employees have voted us as a best place to work year after year!
  • Generous paid time off.
  • We want you to take time off for whatever matters most to you!
  • Tuition reimbursement program.
  • We value continuous learning at Securian!
  • Company-funded pension plan as well as 401K retirement plan - great resources to secure your financial future.
  • Continuous opportunities for new challenges.
  • Variety of health plan options as well as dental and vision plans.
  • Paid maternity/paternity leaves.
  • Securian Financial Group, Inc. does not discriminate based on race, color, creed, religion, national origin, sex, gender identity, sexual orientation, age, marital or familial status, pregnancy, disability, genetic information, political affiliation, veteran status, status in regard to public assistance, status in a local human rights commission, or any other status or condition protected by local, state or federal law.
  • If you are a job seeker with a disability and require an accommodation to apply for one of our jobs, please contact us by telephone 651
  • voice), 711 (telecommunications relay), or by email at
  • To view our privacy statement click hereTo view our legal statement click here
  • Associated topics: broker, commission, insurance agent, life insurance agent, phone, retail, sales, sales agent, sales position, sell

Similar jobs:

  • All Jobs
  • Active
Branch Office Examiner
Advisor GroupSt Paul, MN
Knowledge of the retail brokerage business, fee based advisory business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds.
Compliance Specialist Senior - Branch Reviewer
Huntington National BankSt Paul, MN
+ Series 24 license required or the ability to obtain the license within 90 days of hire
Branch Office Administrator - Saint Paul
Edward JonesSt Paul, MN
A typical branch office has one financial advisor who meets with clients face-to-face and one branch office administrator who enhances the team's ability to build deep relationships with clients.
Branch Manager
IAASt Paul, MN
Leveraging leading-edge technology and focusing on innovation, IAA’s unique platform facilitates the marketing and sale of total-loss, damaged and low-value vehicles.
Disability Claims Examiner
ConcentrixSt Paul, MN
Disability Claims Examiner will review, evaluate and process individual disability insurance claims based on procedure, practice, and policy.
Your Guide on Creating a Quality-Written Construction Manager Resume

A Construction Manager resume should be well-written and detailed to show prospective employers that you have the skills needed for this demanding job. It is an essential document to help get the job. The Construction Management resume isn't even all about having fancy titles, degrees, or certifications. It is all about how you can display your skills and work experience.

Branch Manager
IAA IncSt Paul, MN
Maximizing leading-edge technology and focusing on innovation, IAA's unique platform facilitates the marketing and sale of total-loss, damaged and low-value vehicles.
Front Office / Customer Service Representative
Farmers Insurance - Nicholas HanselSt Paul, MN
Associated topics: agent, agente de servicio al cliente, coordinator, customer care representative, phone, product support, representante de servicio al cliente, service agent, system support, technical assistant
WC Claims Examiner
W.R. Berkley CorporationSt Paul, MN
The Workers Compensation Claims Examiner performs claims adjusication and investigation.
Medical Claims Examiner
Zenith AmericanSt Paul, MN
Zenith American Solutions is the largest independent Third Party Administrator in the United States and currently operates over 44 offices nationwide.
How to Craft Your Resume Summary

When companies publish a help wanted ad, they are likely to get tons of responses. People may submit resumes even if they think they have an inkling of a chance to land the position. This leaves recruiters with the task of sorting through possibly hundreds of resumes to find the best applicants, and most of them will lighten their load by starting with the resume summary. 

Supervising Examiner / Team Leader
Property Claim ProfessionalsSt Paul, MN
Associated topics: claim, claim adjuster, claim examiner, damage, fraud, insurance adjuster, investigate, liability, liability adjuster, title examiner
Audit Assistant Office Director
Minnesota Department of TransportationSt Paul, MN
CONTACT FOR ADDITIONAL INFORMAITON: Lena Garcia, MnDOT Recruitment Specialist 612-257-2388
Branch Manager
American National BankSt Paul, MN
By joining forces with local businesses, charitable organizations and our team members, we are proud to be part of the momentum that keeps the community around us building and growing.
Office Automation Assistant
Defense Contract Audit AgencySt Paul, MN
DCAA employees enjoy our business-casual dress code, flexible work schedules, transit subsidies, and the opportunity to telecommute.
How Long Should A Resume Be?

Only about 2% of submitted resumes result in an interview, and with the increase of remote work, job applicants can come from anywhere. For job searchers, this means that your resume needs to stand out and capture a hiring manager or recruiter’s attention. 

Academic Information Specialist - Registrar's Office
St. Catherine UniversitySt Paul, MN
Founded by the Sisters of St. Joseph of Carondelet in 1905, the University integrates liberal arts and professional education within the Catholic traditions of intellectual inquiry and social teaching.
Title & Registration - Office & Administrative Specialist Intermediate
State Of MinnesotaSt Paul, MN
Graduate of one of the following public sector training programs: Project for Pride in Living, HIRED, Goodwill Easter Seals, Twin Cities Rise, Takoda, Hmong American Partnership, CLUES or similar Department of Employment and Economic Development (DEED) sponsored workforce development programs.

Latest Blog Posts: a Remote Workforce: 5 Steps to Increase Employee Engagement While Working from HomeIn the past year, 70% of full-time workers in the United States have transitioned to remote work due to Covid-19. Seventy seven percent say that having the option to work from home post-pandemic would make them happier and almost 50% are prepared to look for another job if work-from-home options aren’t available. Simple Tips to Write a Retirement LetterMoving onto retirement is a huge milestone, and should be celebrated. After working for years and contributing so much to your job, this is a time when you can finally take a well-deserved break and relax. Writing a retirement letter is required to let your manager and colleagues know that you are leaving your job. Doing so is seen as professional, and will be highly appreciated by the company you work with. to Answer "Tell Me About Yourself" in a Job Interview + ExamplesSo, there you are waiting to be interviewed for a job really want. You get called in. You shake hands confidently looking the interviewer straight in the eye. Then he or she lays the bomb: “Tell me about yourself”. Do's and Don'ts of How to End an EmailOne of the issues we’re all encountering at the moment is what’s been described as ‘hyper novelty’. Not only has our society changed spectacularly, but the rate of that change is equally spectacular. The life of a blue-collar worker probably didn’t change that much for a long time. For example, for countless years quern stones were used for grinding. All that changed over that time was whether it was being powered by human strength, animals or water wheels. to Survive the First 90 Days of a Career ChangeThe hard work is done. You’ve tended your resignation without burning bridges. You’re at peace with the sunken cost of putting a successful career trajectory on hold. You’ve modeled out your cash flows. Your health insurance is buttoned up. After all, quitting should be easier for executives – with savings come safety nets. Yet, once they quit they look more like deer in headlights than wolves of Wall Street. I should know, six years ago I was one of them. to Choose a Career in 5 Easy StepsDeciding how to choose a career can end in you making a big decision, so it is one that doesn’t need to be rushed into. Deciding which path to go down for your career is exciting, but can also feel like a huge responsibility. When it comes to choosing a career, we are often made felt we should have it all figured out. I bet you can recall being as young as 16 in high school and being asked what line of work you wanted to go into. The truth is, most adults don’t even have it figured out, never mind high school kids! Best Seasonal Jobs to Consider for Short-Term EmploymentIf you are looking to make extra income, but aren't looking for a long-term job, then seasonal jobs are an ideal solution. This article will provide information on seasonal work and how you can land a position that’s right for you.