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
