Branch Office Examiner, Compliance

Job Description:

  • 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.
  • 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.

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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