Branch Office Examiner, Compliance

This is a fully remote position, open to applicants in Arizona, +5 more states.

📋 Description

• Conduct approximately 75 to 125 thorough examinations annually.

• Travel independently for up to 50% of the time.

• Coordinate and discuss examination expectations with branch management.

• Prepare for each examination by generating and analyzing various reports and conducting extensive pre-examination research.

• Review findings of the examination with branch management.

• Compose and issue high-quality examination reports promptly.

• Instruct OSJ Managers, Financial Advisors, and support staff on various industry regulations, standards, and firm policies during the examination process.

• Interpret the Written Supervisory Procedures, FINRA manual, compliance notices, and other publications regarding broker/dealer regulation.

• Assist in training new examiners and field management as required.

• Conduct for-cause examinations as necessary.

• Present findings to multiple stakeholders, including field and upper management as required.

• Submit expense reports promptly.

• Archive documentation and supporting materials upon completion of examinations.

⛳️ Requirements

• A minimum of 3 years of experience in the Financial Services industry, with a preference for Compliance or Branch Exams experience.

• In-depth knowledge of the retail brokerage sector, investment advisory services, and common investment products, such as mutual funds, variable annuities, stocks, and bonds.

• A FINRA Series 7 license is mandatory.

• A FINRA Series 24 license is highly preferred or must be obtained within 90 days of starting employment.

• Two opportunities to take the exam will be provided.

• Excellent verbal and written communication skills are essential.

• Proficiency in MS Office applications, including Word, PowerPoint, Excel, and OneDrive.

• Familiarity with Smarsh and RegEd is preferred.

• A high school diploma is required; a college degree is strongly preferred.

• Must be exceptionally detail-oriented, investigative, and able to work independently.

• Ability to deliver unfavorable results in a professional manner is necessary.

• Must be capable of traveling by automobile, train, and/or airplane to visit branch offices across the United States in business attire throughout the year; must be able to carry luggage, a briefcase, a company-provided cell phone, and a company-provided laptop.

🏝️ Benefits

• Health and Wellness: We provide a variety of medical, dental, and vision insurance plans, along with mental health support and wellness initiatives to foster overall well-being.

• Retirement Savings: We offer retirement benefits options that vary by location. In the U.S., our competitive 401(k) Plan features a generous dollar-for-dollar Company matching contribution of up to 6% of eligible pay and a Company contribution equal to 3% of eligible pay (subject to annual IRS limits and Plan terms), which vest immediately.

• Employee Assistance Program: Confidential counseling services and resources are accessible to all employees.

• Matching Charitable Donations: Corebridge matches contributions to tax-exempt organizations at a 1:1 ratio, up to $5,000.

• Volunteer Time Off: Employees may utilize up to 16 volunteer hours annually to engage in activities that benefit and serve the communities where they live and work.

• Paid Time Off: Qualified employees receive a minimum of 24 Paid Time Off (PTO) days to take time off for themselves and their families as needed.