Responsible for administering Branch Exams to Financial Advisors affiliated with Osaic’s Broker Dealers, inspecting and evaluating branch activities to assess compliance with regulations.
Compensation
$65,000 – $75,000 per year + annual bonus
Responsibilities
Conduct approximately 85-100 onsite exams per year
Travel independently up to 50% of the time for onsite branch examinations
Schedule and discuss exam expectations with the OSJ and Satellite branches
Prepare for each exam by generating and analyzing various reports
Review exam findings with OSJ and Satellite Branch Managers
Providing subject matter expertise and independent compliance oversight of broker-dealer and insurance-related activities, specifically focusing on annuities and regulatory requirements compliance.
Locations (3)
Charlotte, North Carolina, United States
Pittsburgh, Pennsylvania, United States
Cleveland, Ohio, United States
Compensation
Base Salary: $76,000 – $156,000
Responsibilities
Demonstrate experience with broker-dealer and insurance compliance, including annuity products, suitability, sales practices, and supervisory requirements.
Interpret and apply applicable FINRA, SEC, and state insurance regulatory requirements.
Evaluate existing compliance policies, procedures, and supervisory controls to identify potential gaps and emerging risks.
E
Risk Consulting - Actuarial - Life Actuary - Staff
Staff within the Core Life Actuarial team delivering actuarial solutions and working closely with management in EY’s global network of insurance sector and risk consulting professionals.
Locations (2)
Hyderabad, Telangana, India
Bengaluru, Karnataka, India
Responsibilities
Responsible for delivering high-quality results and generating effective and impactful solutions
Responsible for ensuring all engagements are delivered within time
Delivery engagements in line with our values and commitment to quality, consistently driving projects to completion and ensuring that work is of high standard
Leverage and support our global network
Travel to meet and work with clients
Requirements
Bachelor’s degree in business, actuarial or finance related
Preferred Actuarial Degree
Nice to have: AI Literacy
Nice to have: GenAI
Nice to have: Agentic AI
Provide regulatory guidance regarding annuity exchanges, replacements, surrender considerations, and potential conflicts of interest.
Support regulatory examinations, inquiries, and remediation efforts.
