Branch Office Examiner, Compliance
Job Fit Check
Base Career helps you apply smarter for this job.
Key skills for this role
About the Role
Corebridge Financial seeks a Branch Office Examiner to conduct comprehensive examinations of branch offices, ensuring compliance with industry rules and regulations. The role requires 3+ years of financial services experience, FINRA Series 7, and up to 50% travel.
Key Skills for This Role
Responsibilities
- Conduct approximately 75 125 comprehensive examinations per year
- Travel independently up to 50% of the time
- Schedule and discuss exam expectations with branch management
- Prepare for each exam by generating and analyzing various reports and conducting pre examination research
- Review exam findings with branch management
- Draft and issue high quality examination reports in a timely manner
- Educate OSJ Managers, Financial Advisors, and support staff on industry rules, regulations, and firm policies
- Interpret Written Supervisory Procedures, FINRA manual, Compliance notices, and other publications concerning broker/dealer regulation
- Assist in training of new examiners and field management as needed
- Perform for cause exams as needed
- Present to multiple parties, including field management and upper management as needed
- Submit expense reports in a timely manner
Requirements
- 3+ years Financial Services industry experience Compliance or Branch Exams experience preferred
- Detailed knowledge of retail brokerage business, investment advisory business, and common investment products
- FINRA Series 7 required
- FINRA Series 24 license strongly preferred or must be obtained within 90 days of employment
- Strong verbal and written communications skills
- Proficiency in MS Office (Word, PowerPoint, Excel, OneDrive)
- High school diploma required; college degree strongly preferred
- Must be extremely detail oriented, investigative, and able to work independently
- Ability to travel via automobile, train, and/or airplane up to 50% of the time
Full Job Posting
Who We Are
- Corebridge Financial partners with financial professionals and institutions to help people take action in their financial lives.
About the Role
- The Branch Office Examiner is responsible for conducting comprehensive examinations of branch offices, ensuring compliance with industry rules and regulations.
Responsibilities
- Conduct approximately 75 125 comprehensive examinations per year.
- Travel independently up to 50% of the time.
- Schedule and discuss exam expectations with branch management.
- Prepare for each exam by generating and analyzing various reports and conducting comprehensive pre examination research.
- Review exam findings with branch management.
- Draft and issue high quality examination reports in a timely manner.
- Educate OSJ Managers, Financial Advisors and support staff on various industry rules, regulations and firm policies during the exam.
- Interpret the Written Supervisory Procedures, FINRA manual, Compliance notices and other publications concerning broker/dealer regulation.
- Assist in the training of new examiners and field management as needed.
- Perform for cause exams as needed.
- Present to multiple parties, including field management and upper management as needed.
- Submit expense reports in a timely manner.
Skills & Qualifications
- 3+ years Financial Services industry experience Compliance or Branch Exams experience preferred.
- Detailed knowledge of the retail brokerage business, investment advisory business, and common investment products including mutual funds, variable annuities, stocks, and bonds.
- FINRA Series 7 is required.
- FINRA Series 24 license is strongly preferred or must be obtained within 90 days of employment.
- Strong verbal and written communications skills required.
- Proficiency in MS Office, including Word, PowerPoint, Excel and OneDrive.
- Proficiency in Smarsh and RegEd preferred.
- High school diploma required; college degree strongly preferred.
- Must be extremely detail oriented, investigative and can work independently.
- Must be able to deliver negative results in a professional manner.
- Must have the ability to: Travel via automobile, train, and/or airplane to visit branch offices throughout the United States in business attire throughout the year; carry luggage, a briefcase, company furnished cell phone and company furnished laptop.
Compensation
- Anticipated base salary range: $65,000 to $75,000.
- Eligible for discretionary bonus.
- Comprehensive benefits including medical, dental, vision, 401(k) with match, employee assistance program, matching charitable donations, volunteer time off, and paid time off.
Work Location
- This position is currently designated as remote.
Estimated Travel
- May include up to 50%.
Apply for this job in 1 click
Skip the repetitive application forms
Install the Base Career Chrome Extension and autofill job applications across major job boards with your profile.
Trusted by over 500,000 job seekers on Base Career
More from this employer
More jobs at Corebridge Financial
Financial Advisor- Texarkana, AR
Riyadh, KSA
Corebridge Financial is seeking a Financial Advisor to provide personalized retirement and financial planning for customers in the Texarkana, AR area. You will meet with clients, use company-provided technology, and coll
Financial Advisor- Texarkana, AR
Riyadh, KSA
Corebridge Financial is seeking a Financial Advisor to provide personalized retirement and financial planning for customers in the Texarkana, AR area. The role involves meeting with clients, using company-provided tools,
Financial Advisor- Texarkana, AR
Riyadh, KSA
Who We Are At Corebridge Financial, we believe action is everything. That’s why every day we partner with financial professionals and institutions to make it possible for more people to take action in their financial liv
Financial Advisor- Texarkana, AR
Riyadh, KSA
Who We Are At Corebridge Financial, we believe action is everything. That’s why every day we partner with financial professionals and institutions to make it possible for more people to take action in their financial liv
Senior Underwriting Consultant, Life Insurance
Riyadh, KSA
Who We Are At Corebridge Financial, we believe action is everything. That’s why every day we partner with financial professionals and institutions to make it possible for more people to take action in their financial liv
Financial Advisor- Texarkana, AR
Riyadh, KSA
Who We Are At Corebridge Financial, we believe action is everything. That’s why every day we partner with financial professionals and institutions to make it possible for more people to take action in their financial liv
Sr. Business Analyst - eApplication
Riyadh, KSA
Who We Are At Corebridge Financial, we believe action is everything. That’s why every day we partner with financial professionals and institutions to make it possible for more people to take action in their financial liv
Financial Advisor- Texarkana, AR
Riyadh, KSA
Who We Are At Corebridge Financial, we believe action is everything. That’s why every day we partner with financial professionals and institutions to make it possible for more people to take action in their financial liv
Financial Advisor- Texarkana, AR
Riyadh, KSA
Financial Advisor- Texarkana, AR
Riyadh, KSA
Financial Advisor- Texarkana, AR
Riyadh, KSA
Financial Advisor- Texarkana, AR
Riyadh, KSA
Senior Underwriting Consultant, Life Insurance
Riyadh, KSA
Financial Advisor- Texarkana, AR
Riyadh, KSA
Sr. Business Analyst - eApplication
Riyadh, KSA
Financial Advisor- Texarkana, AR
Riyadh, KSA