Office Inspection Analyst

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

📋 Description

• Perform scheduled and risk-based inspections, both onsite and virtually, of RIA and BD branch offices.

• Examine branch operations, records, supervision practices, marketing efforts, client communications, and physical office controls.

• Assess adherence to SEC, FINRA, firm policies, and Written Supervisory Procedures (WSPs).

• Review activities of branch personnel to ensure compliance with regulatory and firm standards.

• Evaluate procedures related to advertising, correspondence, social media, records, outside business activities (OBA), personal trading (PST), gifts and entertainment, and client documentation.

• Confirm regulatory disclosures, registrations, and licensing requirements are met.

• Finalize inspection workpapers along with necessary supporting documentation.

• Identify risks related to compliance, supervision, operations, and reputation.

• Document findings, observations, and suggestions for improvement.

• Categorize deficiencies based on risk ratings and escalation protocols.

• Collaborate with branch management and advisors to coordinate corrective action plans.

• Oversee remediation efforts and verify the completion of corrective actions.

• Elevate significant findings, recurring deficiencies, and high-risk issues.

• Create comprehensive inspection reports.

• Monitor inspection metrics, recurring deficiencies, and emerging risk trends.

• Assist in risk assessments to determine the frequency and scope of inspections.

• Collect and analyze documentation, communications, and transaction histories.

• Work collaboratively with Supervision, Legal, and leadership teams to evaluate risk and establish outcomes.

⛳️ Requirements

• Possess active series 7, 66, and 24 licenses.

• Hold a Bachelor's degree or equivalent experience in the industry.

• Have over 3 years of experience in compliance, supervision, branch examinations, regulatory audits, or financial services operations.

• Demonstrate strong knowledge of SEC, FINRA, and state regulatory requirements.

• Have experience conducting reviews, audits, inspections, or testing activities.

• Exhibit excellent written and verbal communication abilities.

• Possess strong organizational, analytical, and investigative skills.

• Capable of managing multiple projects and deadlines independently.

• Willing to travel for onsite branch inspections.

• Able to stand or sit for extended periods, file documents in high or low cabinets, operate a telephone, and utilize computer systems.

🏝️ Benefits

• Eligibility for annual bonuses.

• Opportunities for training and professional development.

• Medical, dental, and vision coverage available for full-time employees and their families.

• Health Savings Account (HSA) with employer contributions and Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses.

• Life and AD&D insurance options, both employer-paid and voluntary.

• Employer-paid short-term and long-term disability, along with workers' compensation.

• 401k plan with matching contributions and profit sharing.

• Access to wellness programs and resources.

• Voluntary benefits, including pet insurance.

• 18 days of paid time off (PTO) accrued annually (25 PTO days after 4 years of service).

• 12 paid holidays each year (10 pre-determined and 2 floating days).

• Paid parental leave and paid caregiver leave (available after 6 months of tenure).

• Tuition reimbursement, licensing, and credential support (available after meeting service requirements).

• Fully remote position with up to 50% travel required.