Branch Examiner
Remote
Position Summary:
Private Client Services (PCS) is seeking a Branch Examiner to join our Compliance Team. The Branch Examiner will have primary responsibility for conducting exams with a focus on the sales practices of each individual advisor and the books and records requirements of each office to ensure adherence to compliance with all applicable industry rules, regulations and procedures.
Role & Responsibilities:
- Actively participate in the Firm’s Branch, Office of Supervisory Jurisdiction (OSJ) and home office examination program.
- Enhance develop and review surveillance reports for the BD and RIA as part of the examination preparation process.
- Prepare audit letter based on deficiencies identified during branch exam and communicate both verbally and in writing, to correct deficiencies and operate an office that is in compliance with all applicable regulations.
- Advise relevant representatives, personnel and management with respect to the Firm’s policies and procedures.
- Assists in compilation of materials for regulatory examinations and audits.
- Interacts with and establishes rapport with field leaders and maintains a high degree of knowledge, proficiency and understanding of regulatory requirements as well as company policies.
- Analyzes data obtained during an audit process to determine any compliance deficiencies.
- Remains apprised of legislation changes to assess compliance impact.
- Maintain Firm books and records related to branch examinations and the current registered branch list.
- Assists in the development and updating of compliance policies, procedures, and system enhancements, as necessary.
Knowledge/Skills/Abilities:
- Principles, practices and procedures of compliance regulations.
- Investment concepts, practices, and procedures used in the securities industry.
- Federal and state securities laws and regulations.
- Ability to work independently and as an effective team member.
- Attention to detail and deadlines.
- Preparing and delivering written and oral presentations and proposals.
- Reviewing and analyzing information, while using critical thinking skills to evaluate the data for regulatory compliance.
- Excellent communicator with strong verbal and written skills.
- Must be able to travel 30% of the time or as necessary.
Experience/Licensing/Certifications:
- 3-5 plus years’ experience in compliance or branch exams or general securities experience.
- FINRA series 7, 66 (or equivalent) licenses or willingness to obtain within a specified period once hired. FINRA Series 24 is a preferred.
Job Type: Full-time
Pay: $64,354.00 - $74,313.00 per year
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Employee assistance program
- Flexible schedule
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Vision insurance
Schedule:
- 8 hour shift
- Monday to Friday
Application Question(s):
- Have you worked as a Branch Examiner previously?
Work Location: Remote
