Branch Office Examiner - Broker​/Dealer

Broker - Dealer, FINRA Member Investment Bank
. U.S. Based Financial Services Company. Specialties and products include:
Investments, Retirement Planning and Capital Markets. Offices in other major U.S. Cities certain of which are where this Examiner position may also be based.

• Review of branch office records, completed questionnaires and branch operating procedures to ascertain compliance with Firm policies and procedures, Federal, Self Regulatory Organization (SRO) Rules and Regulations.
• Follow a set of modules assigned and formulated for the Branch Examination Program.
• Conduct one-on-one meetings/interviews with branch office management, Registered Representative and other personnel.
• Conduct Annual Compliance Meetings in Branch Offices.

• At least two (2) or more years of Branch Examination, Broker-Dealer compliance or regulatory work experience.
• Effective communication skills and attention to detail desired.
• Series 7 FINRA Registration, preferred.
• Bachelor’s Degree, preferred.

This is a full-time permanent position. The position will offer benefits available to all Company employees.

Travel within the United States may be approximately 60% annually with 100% company expense coverage reimbursement.

Competitive salary and benefits package. Annual cash bonus potential and career mobility offered.