Financial Professional

# Osaic Careers **Independent Representative Opportunity in Financial Services** **Financial Professional** **Location(s):** Bank location in which the respective contract was signed **Role Type:** Full-time **Compensation:** $50,000 draw plus commission-based payment structure with excellent earning potential Our competitive compensation is just one component of Osaic’s total compensation package. Additional benefits include: health, vision, dental insurance, 401k, vacation and sick time, volunteer days and much more. To view more details of what you can look forward to, visit our careers page: [Osaic Benefits](https://careers.osaic.com/benefits) **Summary:** The Financial Professional will offer, solicit offers, and sell such products and services that have been expressly approved in advance by Osaic Institutions as an employee of Osaic, Inc. The representative will comply with all applicable laws, rules, regulations and statements of policy of federal and state governmental or regulatory agencies including, but not limited to, the United States Securities and Exchange Commission (“SEC”), the By-Laws and Rules of the Financial Institution Regulatory Authority (“FINRA”), any other self-regulatory organization, and the state securities, investment advisory and insurance regulatory agencies. **Responsibilities:** - Representative will offer for sale and sell only products and services that have been expressly approved in advance by Osaic Institutions and for which Osaic Institutions has executed an underwriting or selling agreement with the sponsor. - In connection with each sale or solicitation of offers to buy securities or insurance products or to provide investment advisory services, Representative will deliver or cause to be delivered to the customer, in accordance with all applicable securities, investment advisory and insurance laws, rules and regulations, a current prospectus, offering memorandum, applicable Form ADV or such other documents that may be in effect and are required to be disclosed and Representative will make no representations to customers except as are contained in such prospectus, offering memorandum or other disclosure documents. In addition, Representative will furnish to the customer and prospective customers such other disclosure forms as required by Osaic Institutions’ policies and procedures. Representative will fully explain the items and conditions of the purchase or sale of securities and insurance products and investment advisory services to the customer or prospective customer. Representative will not make untrue statements, interpretations or misrepresentations, nor will Representative omit or neglect to disclose material facts relating to each such purchase or sale. - Representative will conduct his or her actions as an investment adviser representative under the Investment Adviser’s Act of 1940 (the “40 Act”) and any other applicable federal or state laws or self-regulatory organization rules and in accordance with the policies and procedures adopted from time to time by Osaic Institutions. - Representative, if providing investment advisory services, will cause to be delivered to customers and prospective customers the applicable Form ADV and such other disclosures as are required by federal and state laws and regulations and Osaic Institutions’ policies and procedures relating to investment advisory services. - Representative will not exercise discretion in any investment advisory account without written authorization from the client. - In connection with the sale or solicitation of offers to buy insurance, Representative agrees not to perform any unauthorized act on behalf of Osaic Institutions or any of its approved insurance carriers including, but not limited to, the following: - make, waive, alter, modify or change any contract on behalf of Osaic Institutions or an insurance carrier; - accept any check made payable to Representative or any other entity not entitled to receive such f…