Office Inspection Analyst
About The Position
The Compliance team has an exciting opportunity for an Office Inspection Analyst! The Office Inspection Analyst is responsible for conducting risk-based office inspections of Registered Investment Advisor (RIA) and Broker-Dealer (BD) branch locations to evaluate compliance with regulatory requirements, firm policies, supervisory procedures, and operational controls. The role performs both onsite and virtual inspections, identifies compliance risks and control deficiencies, documents findings, and partners with advisors and business stakeholders to ensure timely remediation. This position serves as a key component of the firm's supervisory and compliance framework by helping assess branch-level risks, strengthen internal controls, and support compliance with SEC, FINRA, and state regulatory requirements. This is a fully remote position with up to 50% travel.
Requirements
- Active series 7, 66, and 24
- Bachelor's degree or equivalent industry experience.
- 3+ years of experience in compliance, supervision, branch examinations, regulatory audits, or financial services operations.
- Strong knowledge of SEC, FINRA, and state regulatory requirements.
- Experience conducting reviews, audits, inspections, or testing activities.
- Excellent written and verbal communication skills.
- Strong organizational, analytical, and investigative skills.
- Ability to manage multiple projects and deadlines independently.
- Willingness to travel for onsite branch inspections.
Responsibilities
- Conduct scheduled and risk-based onsite and virtual inspections of RIA and BD branch offices.
- Review branch operations, books and records, supervision practices, marketing activities, client communications, and physical office controls.
- Evaluate compliance with SEC, FINRA, firm policies, and Written Supervisory Procedures (WSPs).
- Review branch personnel activities for adherence to applicable regulatory and firm requirements.
- Assess office procedures relating to advertising, correspondence, social media, books & records, OBA, PST, gifts & entertainment, and client documentation requirements.
- Verify required regulatory disclosures, registrations, and licensing requirements are properly maintained.
- Complete inspection workpapers and supporting documentation in accordance with departmental standards.
- Identify compliance, supervisory, operational, and reputational risks during inspections.
- Document inspection findings, observations, and recommendations in a clear and defensible manner.
- Classify deficiencies according to firm-established risk ratings and escalation requirements.
- Coordinate with branch management and advisors to develop corrective action plans.
- Monitor remediation efforts and validate completion of corrective actions.
- Escalate significant findings, repeat deficiencies, and high-risk concerns to management.
- Prepare detailed inspection reports summarizing scope, findings, recommendations, and corrective actions.
- Track branch inspection metrics, recurring deficiencies, and emerging risk trends.
- Assist with risk assessments used to determine inspection frequency and scope.
- Gather and analyze relevant documentation, communications, and transaction history to support findings.
- Partner with Supervision, Legal, and leadership to assess risk and determine appropriate outcomes.
Benefits
- Training and professional development
- Medical, dental and vision coverage (Available to full-time employees and their families)
- Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses
- Life and AD&D insurance – employer paid and voluntary options
- Short-term and long-term disability, workers compensation – employer paid
- 401k with match and profit sharing
- 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 (Caregiver leave available after 6 months of tenure)
- Reimbursement for tuition, licensing, and other credentials (Available after meeting service requirements)
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Associate degree
