Financial Branch Inspector

Growing Financial Firm in Carmel Valley area of San Diego needs a Branch Inspector to conduct on-site examinations of branch offices for both the Broker-Dealer and Registered Investment Adviser (RIA) entities.

You will be:

• Scheduling, prepping and completion of on-site branch office inspections.
• Providing guidance and direction to promote efficiency in branch offices that are in line with firm policies and procedures.
• Compiling audit findings and generate reports to the branch principal.
• Following up with branch on any significant findings or any issues that require attention/remediation
• Performing in-depth reviews of industry or regulatory changes that may impact branch office responsibilities and develop strategies to help the firm work to maintain compliance with such changes
• Participating in the maintenance of internal audit policies and procedures

To succeed in this role, you will want to have:

• Bachelor’s degree in a business or related field.
• Series 7 and 63 are required at hire;
  Series 24 required within one year.
• One to three years of branch audit experience (other compliance or supervision experience will be considered, but field audit experience is preferred).
• Ability to travel up to one week at a time and up to two weeks per month (approximately 50% travel / 50% office-based).
• In-depth understanding of SRO, federal, and state regulations regarding broker-dealers and RIAs.

If this sounds like you, please apply today for immediate consideration.

Job Type: Full-time

• 401(k) matching
• Health insurance

Ability to Commute:

Ability to Relocate: