Branch Office Examiner, Compliance
About The Position
The Branch Office Examiner is responsible for the following: 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.
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.
- 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.
Nice To Haves
- Compliance or Branch Exams experience preferred.
- FINRA Series 24 license is strongly preferred or must be obtained within 90 days of employment. Two testing opportunities will be allowed.
- Proficiency in Smarsh and RegEd preferred.
- college degree strongly preferred.
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.
Benefits
- Health and Wellness: We offer a range of medical, dental and vision insurance plans, as well as mental health support and wellness initiatives to promote overall well-being.
- Retirement Savings: We offer retirement benefits options, which vary by location. In the U.S., our competitive 401(k) Plan offers 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). These Company contributions vest immediately.
- Employee Assistance Program: Confidential counseling services and resources are available to all employees.
- Matching charitable donations: Corebridge matches donations to tax-exempt organizations 1:1, up to $5,000.
- Volunteer Time Off: Employees may use up to 16 volunteer hours annually to support activities that enhance and serve communities where employees live and work.
- Paid Time Off: Eligible employees start off with at least 24 Paid Time Off (PTO) days so they can take time off for themselves and their families when they need it.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
High school or GED
Number of Employees
1,001-5,000 employees
