Branch Office Examiner, Compliance

The Branch Office Examiner is responsible for conducting comprehensive examinations of branch offices, reviewing exam findings, and educating staff on industry rules and regulations. The role requires a detailed knowledge of the retail brokerage business and investment products, as well as strong verbal and written communication skills.

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
• FINRA Series 7 is required
• FINRA Series 24 license is strongly preferred or must be obtained within 90 days of employment
• Strong verbal and written communications skills
• Proficiency in MS Office, including Word, PowerPoint, Excel and OneDrive
• Proficiency in Smarsh and RegEd preferred
• High school diploma required; college degree strongly preferred

Benefits

• Health and Wellness
• Retirement Savings
• Employee Assistance Program
• Matching charitable donations
• Volunteer Time Off
• Paid Time Off