Senior Compliance Specialist

Are you experienced in financial services compliance, regulatory examinations, branch supervision, and risk management?

We are seeking a Compliance Oversight Consultant to conduct branch office inspections, assess supervisory controls, evaluate regulatory compliance, and provide guidance to field leadership and registered representatives. This role serves as a key compliance partner, helping ensure adherence to FINRA, SEC, state insurance, and firm regulatory requirements while supporting risk mitigation and supervisory excellence.

The ideal candidate combines expertise in broker-dealer compliance, branch examinations, securities regulations, supervision, audit reviews, and stakeholder consultation with strong communication and investigative skills.

Key Responsibilities

Branch Office Inspections & Regulatory Reviews

• Conduct on-site inspections and annual reviews of:
• Offices of Supervisory Jurisdiction (OSJs)
• Registered Branch Offices
• Field Locations
• Review books, records, and business activities for compliance with regulatory requirements.
• Evaluate branch supervisory practices and operational controls.
• Ensure compliance with FINRA and firm policies.

Compliance Examinations & File Reviews

• Perform:
• Client File Reviews
• Representative Interviews
• Supervisory Process Assessments
• Identify compliance risks, trends, and potential regulatory concerns.
• Assess adherence to supervisory procedures and industry regulations.
• Investigate and document observations, findings, and recommendations.

Sales Practice & Supervisory Oversight

• Review sales activities and advisory practices to ensure regulatory compliance.
• Evaluate supervision of registered representatives and field personnel.
• Identify potential conduct, suitability, and supervisory issues.
• Recommend corrective actions and process improvements.
• Support ongoing monitoring of branch compliance programs.

Regulatory Consultation & Guidance

• Educate and advise:
• Registered Representatives
• Branch Leaders
• Field Supervisors
• Home Office Personnel
• Interpret and explain:
• FINRA Regulations
• Securities Laws
• Insurance Regulations
• Internal Policies & Procedures
• Serve as a compliance resource for complex regulatory questions.

Compliance Reporting & Documentation

• Prepare detailed inspection and review reports.
• Document:
• Findings
• Recommendations
• Corrective Actions
• Follow-Up Activities
• Maintain accurate and audit-ready documentation.
• Track remediation activities through completion.
• Identify compliance gaps and supervisory weaknesses.
• Evaluate regulatory and operational risk exposure.
• Develop practical recommendations to mitigate risks.
• Partner with field leadership to implement corrective measures.
• Monitor effectiveness of remediation efforts.

Process Improvement & Supervision Enhancement

• Collaborate with:
• Network Office Supervision Teams
• Compliance Leadership
• Home Office Partners
• Distribution Performance Teams
• Assess effectiveness of current supervisory processes.
• Recommend enhancements to compliance controls and oversight activities.
• Support continuous improvement initiatives across the organization.

Regulatory Projects & Subject Matter Expertise

• Serve as a subject matter expert on compliance-related projects.
• Compliance Programs
• Regulatory Change Projects
• Interpret regulations and assist with policy implementation.
• Support creation of efficient, compliant business processes.

Stakeholder Engagement

• Build strong relationships with:
• Branch Management
• Registered Representatives
• Compliance Teams
• Communicate findings and recommendations effectively.
• Influence positive compliance behaviors across the organization.
• Facilitate collaboration between business and compliance functions.

Ongoing Monitoring & Oversight

• Execute ongoing oversight activities and supplemental reviews.
• Monitor branch business activities and emerging risks.
• Support proactive identification of compliance concerns.
• Maintain awareness of regulatory developments impacting the business.
• Ensure continued alignment with industry requirements.

Qualifications

Education

Preferred

• Bachelor's Degree in:
• Finance
• Business Administration
• Accounting
• Economics
• Law
• Related Discipline

OR

• Equivalent combination of education and professional experience.