A well recognized wealth management firm is looking to add a talented Branch Office Examiner. In this position you will be responsible for administering Branch Exams to Financial Advisors and monitor compliance of applicable regulations. This role sits remote, that includes travel 25% of the time.
Responsibilities:
- Prepare exams by generating and analyzing various reports
- Perform between 100-120 exams per year remote or onsite
- Send exam reports to OSJ and Satellite Branch Managers, Supervision and Compliance departments in a timely manner.
- Travel independently up to 25% of the time when needed for onsite branch examinations
Qualifications:
- 2-3+ years of compliance experience within financial services
- FINRA Series 7 and 24 licenses are required
- Ability to interpret the Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation.
- Understanding of retail brokerage business, fee based advisory business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds.
Benefits:
- Medical/Vision/Dental/401k
- Future growth potential
- Remote work structure
