Branch Office Examiner, Compliance

Corebridge Financial•Remote-TX, NV

1d•$65,000 - $75,000•Remote

About The Position

At Corebridge Financial, we partner with financial professionals and institutions to help people take action in their financial lives. The Legal team provides advice and counsel to business and functional clients, ensuring compliance with local laws and regulations, and helping the company avoid legal exposure. Company attorneys also complete innovative deals and shape the development of cutting-edge insurance products.

Requirements

3+ years Financial Services industry experience - Compliance or Branch Exams experience preferred.
Detailed knowledge of the retail brokerage business, investment advisory business, and common investment products - including mutual funds, variable annuities, stocks, and bonds.
FINRA Series 7 is required.
FINRA Series 24 license is strongly preferred or must be obtained within 90 days of employment. Two testing opportunities will be allowed.
Strong verbal and written communications skills required.
Proficiency in MS Office, including Word, PowerPoint, Excel and OneDrive.
Proficiency in Smarsh and RegEd preferred.
High school diploma required; college degree strongly preferred.
Must be extremely detail-oriented, investigative and can work independently.
Must be able to deliver negative results in a professional manner.
Must have the ability to: Travel via automobile, train, and/or airplane to visit branch offices throughout the United States in business attire throughout the year; carry luggage, a briefcase, company furnished cell phone and company furnished laptop.

Responsibilities

Conduct approximately 75-125 comprehensive examinations per year.
Travel independently up to 50% of the time.
Schedule and discuss exam expectations with the branch management.
Prepare for each exam by generating and analyzing various reports and conducting comprehensive pre-examination research.
Review exam findings with branch management.
Draft and issue high quality examination reports in a timely manner.
Educate OSJ Managers, Financial Advisors and support staff on various industry rules, regulations and firm policies during the exam.
Interpret the Written Supervisory Procedures, FINRA manual, Compliance notices and other publications concerning broker/dealer regulation.
Assist in the training of new examiners and field management as needed.
Perform for-cause exams as needed.
Present to multiple parties, including field management and upper management as needed.
Submit expense reports in a timely manner.
Archive documentation and supporting paperwork upon conclusion of examinations.