Compliance Examiner

Advisor Talent Solutions•San Diego, CA

6d•$80,000 - $108,000•Hybrid

About The Position

We are seeking a highly motivated individual to join our team as a Compliance Examiner. As part of Madison Avenue Securities Compliance team, this individual is responsible for conducting branch audits of registered representatives/investment advisor representatives all over the country. The Examiner will be responsible for conducting thorough audit reviews, identify any compliance issues and work through the remediation process.

Requirements

At least 5 years of financial service Industry experience
Experience in supervision, compliance and/or regulatory management
Series 7 required, 24 preferred or required to obtain upon hire
Confident, professional, and articulate in written and verbal communication; experience conducting meetings and presentations
Strong organizational skills: capacity to manage heavy workload while navigating a variety of competing, ever-changing priorities
Detail-orientated; able to work with high degree of accuracy in a fast-paced environment
Ability to travel (30% - 50%)

Nice To Haves

Experience conducting exams or audits
Knowledge of SEC/FINRA, and various state rules and regulations
Additional Industry exams: Series 66 (or 63/65)
Experience with technical supervisory systems (Orion, ProSurv, Smarsh and RegEd)

Responsibilities

Lead full cycle (remote and onsite) examinations to identify deficiencies in compliance processes and procedures.
Create comprehensive examination reports and clearly communicate findings; provide solution-based feedback on any compliance issues found.
Regular communication with advisors and office staff for audit prep, records/document maintenance, required reporting submissions and prompt response to various compliance needs.
Collaborate with Marketing and Operational teams to identify and resolve various compliance issues.
Stay up to date on new and existing regulatory requirements.