Remote Branch Examiner

Examiner is expected to complete numerous virtual inspections per year of various Firm locations.

• The employee is expected to verify accuracy of branch questionnaire responses and internal books and records via review of RBC systems, FINRA Gateway, and the Internet.
• Employee will participate in discussions with onshore team to escalate concerns or findings found in questionnaire.
• Employee must assist with the summarization of reviews in a written final report, maintain appropriate documentation to support reviews and findings/issues, and escalate any areas where concerns were noted. The final report will be distributed to business stakeholders, inclusive of senior management.
• If warranted, employee may need to be in contact with registered representatives under review via e-mail or phone/Webex as it relates to the inspection process.
• Willing to assist with special projects as they arise. Examples include but are not limited to relevant investigations, complaints, escalations, Regulatory Compliance Management (RCM), etc.

Must have :

• Familiarity with Capital Markets and/or Wealth Management products, strategies, and activities at a U.S.-registered broker-dealer.
• Experience in roles in any of the following areas: Compliance Testing, Quality Assurance, Branch Inspections, Surveillance, and/or Internal Audit.

Nice to have :

• Knowledge of FINRA (particularly Rule 3110), SEC, and MSRB expectations, rules, and regulations
• Masters or Law School Degree

Skills & Capabilities :

• Excellent attention to detail, organization, and high analytical skills
• Strong interpersonal and communication skills, including ability to communicate reviews professionally and effectively, while using discretion with sensitive and confidential data
• Strong team player who does not operate in a siloed capacity and values collaboration
• Ability to learn and apply concepts independently after a period of time
• Maintains a curious nature and can ask the next question
• Ability to check and challenge in a professional manner

Job Skills

Additional Job Details

Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above