Compliance Examiner – Broker Dealer

This is a fully remote position, open to applicants in United States.

📋 Description

• Plan, organize, and execute both on-site and remote examinations of Broker/Dealer and RIA branch offices, along with registered representatives.

• Review an extensive array of books and records, including client files, trade blotters, correspondence, advertising materials, and financial documents to ensure compliance with regulatory standards.

• Conduct interviews with branch managers, registered representatives, and staff to assess supervisory effectiveness and pinpoint compliance risks.

• Identify and document deficiencies, violations, and operational weaknesses in a clear and concise manner.

• Prepare comprehensive examination reports that summarize findings, recommendations for corrective actions, and supporting evidence.

• Follow up with branches to confirm timely and effective remediation of identified issues.

• Collaborate with the Chief Compliance Officer and compliance team to analyze trends and create proactive compliance solutions.

• Stay updated on regulatory developments and industry best practices.

• Assist with special projects and regulatory inquiries as required.

• Conduct approximately 70–90 branch examinations annually.

• Travel: 80-90%

• Must reside within one hour of a major airport to facilitate travel.

⛳️ Requirements

• Bachelor's degree in Finance, Accounting, Business, or a related field; or equivalent experience.

• 3–5 years of experience as a compliance examiner or auditor in the financial services sector, preferably within a broker-dealer environment.

• Licenses Required: FINRA Series 7 and 24.

• Strong understanding of FINRA, SEC, and state securities regulations.

• Proven track record of conducting on-site audits or branch examinations.

• Proficient in Microsoft Office Suite and familiar with regulatory filing systems (e.g., FINRA Gateway).

• Exceptional analytical and investigative skills with a keen attention to detail.

• Excellent written and verbal communication abilities, with the capacity to present complex findings clearly.

• Ability to work independently and manage a demanding travel schedule.

• Strong organizational and time-management skills.

🏝️ Benefits

• Salary is commensurate with experience, location, etc.